Barry P. Newburger
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.
Barry Philip Newburger was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1978. Barry had worked at 2 firms and has passed the Series 5 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
March 12, 1982 - July 19, 1996
COWEN EQUITY FINANCE LP
July 24, 1978 - March 4, 1982
PERSHING LLC
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: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
COWEN EQUITY FINANCE LP
CRD#: 10019 / SEC#: , 8-25976
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN STRUCTURED HOLDINGS INC. | LIMITED PARTNER | |
| COWEN EQUITY FINANCE GROUP LLC | GENERAL PARTNER | |
| FIORELLO, JOHN | CHIEF COMPLIANCE OFFICER | 2883294 |
| HOLMES, JOHN | CHIEF FINANCIAL OFFICER (11/2012) CHIEF ADMINISTRATIVE OFFICER (4/2013) AND CHIEF EXECUTIVE OFFICER (8/2014) | 1281617 |
| KHOWONG, PHONGSY | FINOP | 2379055 |
Disclosures
| Regulatory Event | 2 |
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.
