Mark A. Cowin
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.
Mark Alan Cowin, who also goes by Mark A Cowin, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2014 - March 26, 2015
1ST GLOBAL ADVISORS INC
November 5, 2014 - March 26, 2015
1ST GLOBAL CAPITAL CORP.
November 20, 1992 - December 31, 2003
AVANTAX INVESTMENT SERVICES, INC.
October 22, 1985 - March 18, 1987
NEWEDGE SECURITIES, 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
Current Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
