Craig H. Schiffer
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.
Craig H Schiffer was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1979. Craig had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - January 20, 2015
COWEN AND COMPANY
May 15, 2013 - August 22, 2014
ICAPITAL MARKETS LLC
May 19, 2010 - January 14, 2013
MCS CAPITAL MARKETS LLC
January 15, 2009 - June 5, 2009
PROVIDENT INTERNATIONAL SECURITIES, INC.
March 11, 2002 - December 31, 2006
COMMERZ MARKETS LLC
September 9, 1997 - February 6, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
June 26, 1984 - April 9, 1997
LEHMAN BROTHERS INC.
June 12, 1980 - September 15, 1987
LEHMAN SPECIAL SECURITIES INC.
June 22, 1979 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
State Registrations and Notice Filings
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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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