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CM

Christopher C. Mccutcheon

Some features on this profile are disabled
CRD#: 5172155
CM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Christopher Clark Mccutcheon, who also goes by Leonard C Mccutcheon, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 2 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leonard C Mccutcheon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 22, 2008 - January 30, 2013

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

October 5, 2006 - May 14, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN FRANCISCO, CA
Past

September 15, 2006 - May 14, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/4/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2006
General Securities Representative Examination

Current Firm

CP
COWEN PRIME SERVICES TRADING LLC
CONIFER SECURITIES LLC | JWGENESIS CAPITAL MARKETS LLC | GENESIS MERCHANT GROUP SECURITIES LLC | GENESIS MERCHANT GROUP SECURITIES L.P. | COWEN PRIME SERVICES TRADING LLC

CRD#: 23857 / SEC#: , 8-40756

BD
Terminated by SEC on 06/12/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/08/1996
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN PB HOLDINGS LLCDIRECT PARENT AND MEMBER
BYRNE, WILLIAM FRANCISMANAGING DIRECTOR TRADING2152584
CHARNEY, DANIEL S.CHIEF EXECUTIVE OFFICER2158255
COHEN, STEVEN ANDREWCHIEF COMPLIANCE OFFICER2218249
HOLMES, JOHNCHIEF OPERATING OFFICER1281617
MARTIN, GEOFF JOSEPHROP4055156
SIMMONS, JAMES ROBERTCHIEF FINANCIAL OFFICER1327561

Disclosures

Regulatory Event8

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.

Company Information

COWEN PRIME SERVICES TRADING LLC

CRD#: 23857

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