Michael J. Tario
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.
Michael John Tario was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 17 firms and has passed the Series 63, Series 5, Series 1, Series 14, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2009 - January 4, 2011
COWEN EXECUTION SERVICES LLC
April 1, 2008 - January 8, 2010
DASH FINANCIAL TECHNOLOGIES LLC
March 5, 2008 - April 1, 2008
PETRA TRADING GROUP LLC
March 30, 2007 - September 24, 2007
FM PARTNERS HOLDINGS LLC
June 2, 2004 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
January 1, 2001 - September 4, 2003
BNY CLEARING SERVICES LLC
July 22, 1994 - January 1, 2001
SCHRODER & CO. INC.
September 2, 1993 - April 28, 1994
LIT CLEARING SERVICES, INC.
March 29, 1989 - August 31, 1992
LASHCO, INC.
September 6, 1985 - June 17, 1988
TRANSACTION SERVICES INC.
February 19, 1983 - August 24, 1988
LASALLE ST SECURITIES, L.L.C.
July 29, 1980 - October 16, 1985
GRUNTAL & CO., L.L.C.
June 7, 1978 - June 30, 1980
THE CHICAGO CORPORATION
December 9, 1975 - April 11, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
December 9, 1975 - April 11, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 1975 - April 11, 1976
IDS LIFE INSURANCE COMPANY
August 12, 1974 - August 12, 1977
BECKER SECURITIES 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 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 1
Date: 12/5/1975
Registered Representative ExaminationSeries 12
Date: 2/21/1981
NYSE Branch Manager ExaminationCurrent Firm
COWEN EXECUTION SERVICES LLC
CRD#: 35693 / SEC#: 801-67167, 8-46838
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO | MEMBER | |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| EADS, MARK B | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP | 2942874 |
| HOLMES, JOHN | PRINCIPAL OPERATIONS OFFICER | 1281617 |
| KAPLAN, GARY MITCHELL | MUNICIPAL PRINCIPAL | |
| LUPKIN, IRA ADAM | PRINCIPAL FINANCIAL OFFICER | 4463446 |
| MESSINGER, LINDA LOUISE | CHIEF COMPLIANCE OFFICER | 2561401 |
Disclosures
| Regulatory Event | 29 |
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.
