Douglas J. Brown
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.
Douglas James Brown was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1977. Douglas had worked at 10 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2021 - November 5, 2021
COWEN AND COMPANY
November 1, 2010 - November 5, 2021
COWEN PRIME SERVICES LLC
September 27, 2006 - September 13, 2011
SANDERS MORRIS LLC
May 5, 2003 - March 6, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 15, 2001 - April 23, 2003
HSBC SECURITIES (USA) INC.
April 3, 1992 - October 24, 2000
PERSHING LLC
January 30, 1984 - February 28, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
July 29, 1982 - April 16, 1992
UBS FINANCIAL SERVICES INC.
July 21, 1982 - March 28, 1984
UBS FINANCIAL SERVICES INC.
May 19, 1978 - June 17, 1982
KIDDER, PEABODY & CO. INCORPORATED
July 1, 1977 - May 19, 1978
KIDDER, PEABODY & 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
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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