Edward J. Cowell
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.
Edward Joseph Cowell JR was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1972. Edward had worked at 15 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 1997 - July 31, 1998
ROSENTHAL COLLINS SECURITIES, L.L.C
March 25, 1996 - December 31, 1996
GLOBAL INVESTMENT SERVICES, INC.
February 4, 1992 - March 25, 1996
REPUBLIC SECURITIES, INC.
November 10, 1987 - June 28, 1991
LASALLE ST SECURITIES, L.L.C.
October 26, 1984 - October 8, 1987
BOOTH INVESTMENTS CORP.
July 6, 1984 - August 29, 1984
EASTERN CAPITAL SECURITIES, INC.
February 6, 1984 - June 14, 1984
EASTERN CAPITAL CORPORATION
December 8, 1981 - September 30, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
November 20, 1981 - December 21, 1981
LPL FINANCIAL LLC
July 22, 1981 - November 17, 1981
MORGAN STANLEY DW INC.
February 26, 1975 - September 3, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 26, 1975 - September 3, 1977
OSAIC FA, INC.
June 15, 1973 - July 1, 1973
INDEPENDENT SECURITIES CORPORATION
May 4, 1973 - February 13, 1975
ADVANTAGE CAPITAL CORPORATION
September 18, 1972 - June 15, 1973
EQUITY FUNDING SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/12/1972
Registered Representative ExaminationCurrent Firm
ROSENTHAL COLLINS SECURITIES, L.L.C
CRD#: 41915 / SEC#: , 8-49629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSENTHAL COLLINS HOLDINGS, L.L.C. | DIRECT OWNER | |
| BYRNE, ROBERT JAMES | MUNICIPAL PRINCIPAL, GENERAL PRINCIPAL OPERATIONS OPTIONS PRINCIPAL | 4421288 |
| OSMANSKI, PETER ANTHONY | GENERAL PRINCIPAL OPTION PRINCIPAL MUNICIPAL PRINCIPAL | 2217490 |
| SPANIAK, GEORGE NICHOLAS JR | FINANCIAL & OPERATIONS PRINCIPAL | 2171494 |
| WALL, THOMAS JEROME | PRESIDENT, GENERAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL | 1188640 |
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.
