Arthur T. Cowen
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.
Arthur Tony Cowen III, who also goes by Arthur Cowen III, Tony Cowen III, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1967. Arthur had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - August 7, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
December 12, 2007 - October 30, 2015
BRILL SECURITIES, INC.
May 29, 2002 - December 20, 2007
OPPENHEIMER & CO. INC.
October 23, 2000 - June 4, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
April 6, 1967 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 12/20/1978
AMEX Put and Call ExamSeries 40
Date: 6/30/1967
Registered Principal ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
