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JC

Joseph A. Cowherd

ENGLAND SECURITIES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 849176
JC

Professional summary

Joseph Andrew Cowherd, who also goes by Andy Cowherd, is a registered financial professional currently at ENGLAND SECURITIES, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1978. Joseph has worked at 5 firms and has passed the SIE, Series 79, Series 62, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andy Cowherd

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) - BD

Click below to view Joseph Andrew Cowherd's CRS (Customer Relationship Summary).

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

Current

April 20, 2015 - Present

ENGLAND SECURITIES, LLC

Office #1: 1270 Avenue Of The Americas Suite 1202, New York, NY 10020
BD
CRD#: 129932
NEW YORK, NY
Past

June 7, 2012 - April 6, 2015

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
NEW YORK, NY
Past

October 27, 2006 - June 14, 2012

SOLOMON PARTNERS SECURITIES, LLC

BD
CRD#: 28041
NEW YORK, NY
Past

May 21, 1991 - February 25, 1993

DB ALEX. BROWN LLC

BD
CRD#: 17790
Past

March 1, 1978 - June 25, 1991

SALOMON BROTHERS INC.

BD
CRD#: 740

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/13/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 10/26/2006
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/9/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ENGLAND SECURITIES, LLC
ENGLAND SECURITIES, LLC

CRD#: 129932 / SEC#: , 8-66274

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1000 Louisiana Street Suite 6550, Houston, TX 77002
Mailing Address
1000 Louisiana Street Suite 6550, Houston, TX 77002
Phone number
(713) 357-9440
Established
District of Columbia since 11/28/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ENGLAND & COMPANY, LLCSHAREHOLDER
ENGLAND, CRAIG WILLIAMMANAGING MEMBER, PRINCIPAL, SHAREHOLDER, CHIEF COMPLIANCE OFFICER2038219
ENGLAND, CRAIG WILLIAMFINOP2038219

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.

Company Information

ENGLAND SECURITIES, LLC

CRD#: 129932New York, NY 10020

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