Marian D. Toy
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.
Marian Donnelly Toy, who also goes by Marian Cecilia Donnelly, was a registered financial professional .
Marian is a previously registered financial professional and started their career in finance in 1989. Marian had worked at 8 firms and has passed the Series 63, Series 86, Series 87, Series 16, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2013 - June 3, 2013
COWEN SECURITIES LLC
February 28, 2013 - November 21, 2013
COWEN AND COMPANY
September 10, 1997 - April 17, 2012
CREDIT SUISSE SECURITIES (USA) LLC
September 25, 1996 - September 18, 1997
GRUNTAL & CO., L.L.C.
September 18, 1995 - September 23, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
February 17, 1995 - September 18, 1995
S.G. WARBURG & CO. INC.
June 11, 1991 - February 9, 1995
PERSHING LLC
January 11, 1990 - June 11, 1991
S.G. WARBURG & CO. INC.
July 18, 1989 - August 14, 1989
CIBC WOOD GUNDY SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
COWEN SECURITIES LLC
CRD#: 23510 / SEC#: , 8-40487
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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