Robin E. Davis

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CRD#: 815228

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.

Robin Edward Davis was a registered financial professional .

Robin is a previously registered financial professional and started their career in finance in 1975. Robin had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 1, 2010 - February 25, 2013

COWEN PRIME SERVICES LLC

CRD#: 153397

NEW YORK, NY

Past

June 19, 2009 - July 11, 2011

SANDERS MORRIS LLC

CRD#: 20580

NEW YORK, NY

Past

January 25, 2006 - December 8, 2008

WELLS FARGO PRIME SERVICES, LLC

CRD#: 133068

NEW YORK, NY

Past

October 1, 1997 - September 23, 2004

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 12, 1995 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

June 11, 1992 - June 21, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 11, 1991 - June 12, 1992

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

October 2, 1990 - April 8, 1991

FIRST CAMBRIDGE SECURITIES CORPORATION

CRD#: 21846

NEW YORK, NY

Past

February 24, 1989 - July 19, 1990

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

October 26, 1987 - March 2, 1989

SBC WARBURG DILLON READ INC.

CRD#: 1650

Past

November 14, 1985 - October 27, 1987

MCKINLEY ALLSOPP, INC.

CRD#: 13098

Past

April 18, 1983 - October 3, 1985

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

April 23, 1980 - April 25, 1983

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

July 12, 1978 - May 22, 1980

JOHN MUIR & CO.

CRD#: 2837

Past

February 3, 1978 - August 8, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

February 2, 1977 - February 5, 1978

KUHN LOEB & CO. INCORPORATED

CRD#: 2485

Past

November 20, 1975 - March 4, 1977

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/13/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1986

General Securities Principal Examination

Current Firm

COWEN PRIME SERVICES LLC

CRD#: 153397 / SEC#: , 8-68531

Terminated by SEC on 12/18/2021

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 06/30/2009

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
COWEN PB HOLDINGS LLC	DIRECT PARENT, MEMBER, OWNER
CHARNEY, DANIEL S	CEO	2158255
HOLMES, JOHN	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1281617
JORDAN, FRANCIS	PRINCIPAL FINANCIAL OFFICER	5634167
POPPELL, RALPH EDWARD	CHIEF COMPLIANCE OFFICER	1683087

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.

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Firm Stability Insights

Robin E. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANDERS MORRIS LLC

WELLS FARGO PRIME SERVICES, LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

CIBC WORLD MARKETS CORP.

TUCKER ANTHONY INCORPORATED

FIRST CAMBRIDGE SECURITIES CORPORATION

JOSEPHTHAL & CO., INC.

SBC WARBURG DILLON READ INC.

MCKINLEY ALLSOPP, INC.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY & CO. LLC

JOHN MUIR & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

KUHN LOEB & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/1981

Series 7

Date: 11/15/1975

Series 24

Date: 9/24/1986

Current Firm

COWEN PRIME SERVICES LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

COWEN PRIME SERVICES LLC

TRUST BUT VERIFY

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