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Burton Welly

Cowen AND Co.

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About Burton Welly

Burton Welly is a financial advisor with over 20 years of experience in the industry. He currently works at Cowen AND Co. in Stamford, Connecticut, and is registered in Connecticut and New York. Burton has held various positions at several firms, including CRT Capital Group LLC and GMP Securities, LLC. He holds several securities licenses, including Series 7, 24, 55, 57TO, and 63, as well as the SIE exam.

Firm Information

Burton Welly 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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Burton Welly’s Registration & Firm History

CT

05/09/2016 - Present

Cowen AND Co. (Stamford CT)

CT

07/13/2015 - 05/11/2016

CRT CAPITAL GROUP LLC (STAMFORD CT)

CT

05/18/2015 - 07/10/2015

GMP SECURITIES, LLC (STAMFORD CT)

CT

05/22/2002 - 05/19/2015

CRT CAPITAL GROUP LLC (STAMFORD CT)

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Licenses & Designations

BC

Issued 09/20/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/23/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/21/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, 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 Burton Welly.
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