Keith B. Kurzner
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.
Keith Bennett Kurzner was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1980. Keith had worked at 9 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 4, Series 8 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
September 16, 2011 - January 31, 2014
COWEN AND COMPANY
April 10, 2008 - August 19, 2011
RBC CAPITAL MARKETS, LLC
January 14, 2008 - April 10, 2008
OPPENHEIMER & CO. INC.
June 25, 1991 - January 14, 2008
CIBC WORLD MARKETS CORP.
June 13, 1989 - June 10, 1991
SIG SPECIALISTS, INC.
June 9, 1986 - November 5, 1988
WALSH, GREENWOOD & CO.
October 5, 1983 - June 16, 1986
PERSHING LLC
August 10, 1981 - September 28, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1980 - July 27, 1981
DREXEL BURNHAM LAMBERT 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
Series 55
Date: 4/14/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 10/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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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