David J. Drucker
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.
David J Drucker was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2008. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2021 - August 14, 2023
COWEN AND COMPANY
July 15, 2021 - August 14, 2023
COWEN PRIME ADVISORS LLC
February 14, 2021 - March 14, 2011
COWEN PRIME SERVICES LLC
February 20, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 14, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 6, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
February 1, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 31, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 30, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 29, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 26, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 25, 2018 - March 14, 2011
COWEN PRIME SERVICES LLC
January 5, 2012 - March 14, 2011
COWEN PRIME SERVICES LLC
January 5, 2012 - February 10, 2022
COWEN PRIME SERVICES LLC
July 30, 2010 - January 6, 2012
BURNHAM ASSET MANAGEMENT CORP
May 29, 2008 - January 5, 2012
BURNHAM SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COWEN AND COMPANY
CRD#: 7616 / SEC#: , 8-22522
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN HOLDINGS, INC. | DIRECT PARENT | |
| CHARNEY, DANIEL S. | CO-PRESIDENT | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| JENKINS, CHRISTINE J | PRINCIPAL FINANCIAL OFFICER AND FINOP | 4911933 |
| NIZICH, MATTHEW JOHN | REGISTERED OPTIONS PRINCIPAL | 2119564 |
| SOLOMON, JEFFREY MARC | CHIEF EXECUTIVE OFFICER | 2133254 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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