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Dana Rory Kingstone

Cowen AND Co.

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About Dana Rory Kingstone

Dana Rory Kingstone is a financial professional registered with Cowen AND Co., a broker-dealer. Dana has been in the financial industry since June 16, 2008. Dana is licensed in all 50 states and the District of Columbia and has a wide range of experience in the financial services industry.

Firm Information

Dana Kingstone 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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Dana Kingstone’s Registration & Firm History

CT

09/25/2023 - Present

Cowen AND Co. (Stamford CT)

NY

10/28/2011 - 09/27/2023

TD SECURITIES (USA) LLC (NEW YORK NY)

NY

10/31/2007 - 01/22/2010

TD SECURITIES (USA) LLC (NEW YORK NY)

NA

08/14/2006 - 10/01/2007

PETERS & CO. EQUITIES INC. (CALGARY, AB )

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Licenses & Designations

BC

Issued 09/08/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/12/2006

Series 37 - Canada Module of the General Securities Registered Representative (With Options Questions)

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

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, 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 Dana Rory Kingstone.
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