Alec D. Green
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.
Alec Douglas Green was a registered financial professional .
Alec is a previously registered financial professional and started their career in finance in 1974. Alec had worked at 8 firms and has passed the PC 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
July 1, 1998 - January 6, 2014
COWEN AND COMPANY
May 31, 1985 - July 1, 1998
FINANCIAL SQUARE PARTNERS
June 26, 1984 - May 24, 1985
LEHMAN BROTHERS INC.
October 3, 1983 - August 2, 1986
LEHMAN BROTHERS INTERNATIONAL SECURITIES, INC.
September 13, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 13, 1978 - August 6, 1983
BECKER PARIBAS INCORPORATED
June 13, 1975 - July 13, 1978
BECKER SECURITIES INCORPORATED
July 25, 1974 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
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
PC
Date: 8/31/1983
AMEX Put and Call ExamSeries 1
Date: 7/17/1974
Registered Representative ExaminationCurrent 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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