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Allen Gerard

Cowen AND Co.

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About Allen Gerard

Allen Gerard is an experienced financial professional who has been active in the securities industry since May 24, 1984. Allen is currently registered with Cowen And Co. and is located in Rocky River, Ohio. Allen is a Series 7, Series 9, Series 10 and Series 63 licensed professional and holds the SIE designation. Allen has previous registrations with Cowen & Co., Shearson Lehman Hutton Inc. and E. F. Hutton & Company Inc. Allen is registered in multiple states including California, Connecticut, Delaware, Florida, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York, Ohio, Pennsylvania, West Virginia, and Wisconsin.

Firm Information

Allen Gerard is currently registered with Cowen AND Co.. Cowen AND Co. is a Limited Liability Company that was formed on January 15, 2004. The firm is registered in 53 states and the SEC and offers advisory services. Cowen AND Co. has been involved in 46 regulatory events and 8 arbitration cases.

Not reported

Assets Under Management

Not reported

Total Clients

142

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Gerard’s Registration & Firm History

OH

07/01/1998 - Present

Cowen AND Co. (ROCKY RIVER OH)

NY

01/25/1988 - 07/01/1998

COWEN & CO. (NEW YORK NY)

NA

02/15/1988 - 03/03/1988

SHEARSON LEHMAN HUTTON INC.

NA

11/04/1985 - 02/15/1988

E. F. HUTTON & COMPANY INC

NA

05/25/1984 - 11/11/1985

BAKER & CO., INCORPORATED

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Licenses & Designations

BC

Issued 08/14/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/19/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/07/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/19/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Allen Gerard.
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