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David A Miller

Cowen AND Co.

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About David A Miller

David Miller is a financial professional with over 25 years of experience in the industry. David has a strong background in trading and investment management. David currently works at Cowen and Co. and is registered with FINRA and the states of California, Connecticut, Georgia, New Jersey, New York, and Tennessee. David also holds the Series 7, Series 24, Series 55, Series 57TO, and SIE licenses.

Firm Information

David Miller 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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David Miller’s Registration & Firm History

CT

12/08/2015 - Present

Cowen AND Co. (Stamford CT)

NY

12/21/2000 - 12/11/2015

JEFFERIES LLC (NEW YORK NY)

NJ

06/04/1996 - 01/09/2001

KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 02/24/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/20/2003

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 12/01/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/03/1996

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

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 David A Miller.
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