KC
Katherine M. Cowan
FEF DISTRIBUTORS
Miami, FL
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CRD#: 5001801
KC
Professional summary
Katherine Maroon Cowan, who also goes by Katherine Elizabeth Cowan, Katherine Elizabeth Maroon, Katie Elizabeth Maroon, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in Miami, Florida.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2008. Katherine has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine Elizabeth Cowan | Katherine Elizabeth Maroon | Katie Elizabeth Maroon
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Katherine Cowan is employed by First Eagle Investment Management, LLC (FEIM) as an Head of Insurance Client Solutions and in addition, serves as a registered representative of FEF Distributors, LLC (FEFD). FEIM is the investment adviser to the First Eagle Funds which are distributed through FEFD. FEIM and FEFD are located at 1345 Avenue of the Americas, New York, N.Y. and both businesses are investment related. As an External Wholesaler of FEIM, Katherine Cowan devotes his entire time to administrative and distribution related activities for the First Eagle Funds, both through FEIM and FEFD.
CRS (Client Relationship Summary) - BD
Click below to view Katherine Maroon Cowan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 9, 2023 - Present
FEF DISTRIBUTORS, LLC
BD
CRD#: 46585
Miami, FL
Past
April 15, 2015 - November 10, 2023
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
Santa Monica, CA
Past
September 4, 2013 - November 10, 2023
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 137432
SANTA MONICA, CA
Past
May 9, 2013 - April 20, 2015
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
SANTA MONICA, CA
Past
November 1, 2010 - April 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 11, 2010 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
December 12, 2008 - December 14, 2009
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
January 8, 2008 - December 12, 2008
RBS SECURITIES CORPORATION
BD
CRD#: 118936
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/9/2023)
RR
Alaska(11/9/2023)
RR
Arizona(11/9/2023)
RR
Arkansas(11/9/2023)
RR
California(11/9/2023)
RR
Colorado(11/9/2023)
RR
Connecticut(11/9/2023)
RR
Delaware(11/9/2023)
RR
District of Columbia(11/9/2023)
RR
Florida(11/9/2023)
RR
Georgia(11/9/2023)
RR
Hawaii(11/9/2023)
RR
Idaho(11/9/2023)
RR
Illinois(11/9/2023)
RR
Indiana(11/9/2023)
RR
Iowa(11/9/2023)
RR
Kansas(11/9/2023)
RR
Kentucky(11/9/2023)
RR
Louisiana(11/9/2023)
RR
Maine(11/9/2023)
RR
Maryland(11/9/2023)
RR
Massachusetts(11/9/2023)
RR
Michigan(11/9/2023)
RR
Minnesota(11/9/2023)
RR
Mississippi(11/9/2023)
RR
Missouri(11/9/2023)
RR
Montana(11/9/2023)
RR
Nebraska(11/9/2023)
RR
Nevada(11/9/2023)
RR
New Hampshire(11/9/2023)
RR
New Jersey(11/9/2023)
RR
New Mexico(11/9/2023)
RR
New York(11/9/2023)
RR
North Carolina(11/9/2023)
RR
North Dakota(11/9/2023)
RR
Ohio(11/9/2023)
RR
Oklahoma(11/9/2023)
RR
Oregon(11/9/2023)
RR
Pennsylvania(11/9/2023)
RR
Puerto Rico(11/9/2023)
RR
Rhode Island(11/9/2023)
RR
South Carolina(11/9/2023)
RR
South Dakota(11/9/2023)
RR
Tennessee(11/9/2023)
RR
Texas(11/9/2023)
RR
Utah(11/9/2023)
RR
Vermont(11/9/2023)
RR
Virginia(11/9/2023)
RR
Washington(11/9/2023)
RR
West Virginia(11/9/2023)
RR
Wisconsin(11/9/2023)
RR
Wyoming(11/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
