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Charles Dyer

Cowen AND Co.

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About Charles Dyer

Charles Dyer is a financial professional with over 25 years of experience in the industry. Charles is currently registered with Cowen and Co. Charles has held previous positions at Urchin Capital Partners, LLC, Conifer Securities LLC, Robertson Stephens, Inc., Banc of America Securities LLC, MAM Securities, LLC, and Montgomery Securities. Charles has a wide range of experience in the financial services industry, including investment banking, securities trading, and wealth management.

Firm Information

Charles Dyer 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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Charles Dyer’s Registration & Firm History

CA

06/02/2006 - Present

Cowen AND Co. (San Francisco CA)

CA

05/11/2006 - 06/13/2006

URCHIN CAPITAL PARTNERS, LLC (SAN FRANCISCO CA)

NY

04/10/2001 - 01/12/2005

CONIFER SECURITIES LLC (NEW YORK NY)

CA

10/23/2000 - 03/16/2001

ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)

NY

04/21/1998 - 10/25/2000

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

CA

07/14/1997 - 04/16/1998

MAM SECURITIES, LLC (SAN FRANCISCO CA)

CA

05/23/1997 - 07/07/1997

MONTGOMERY SECURITIES (SAN FRANCISCO CA)

NA

02/18/1993 - 07/24/1993

HAWTHORNE DISTRIBUTORS CORP.

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Licenses & Designations

BC

Issued 02/11/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/1997

Series 7 - General Securities Representative Examination

BC

Issued 01/21/1993

Series 6 - Investment Company Products/Variable Contracts 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 Charles Dyer.
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