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Felix Mullen

Cowen AND Co.

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About Felix Mullen

Felix Mullen is a financial advisor with Cowen AND Co. in Stamford, CT. Felix has over 19 years of experience in the financial services industry. Felix is registered with the following states: Connecticut, Georgia, Illinois, and New York. Felix holds the Series 7, 55, 57TO, and SIE licenses.

Firm Information

Felix Mullen 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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Felix Mullen’s Registration & Firm History

CT

08/17/2020 - Present

Cowen AND Co. (Stamford CT)

NY

09/08/2015 - 06/30/2020

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

NY

03/26/2012 - 08/13/2015

CANACCORD GENUITY INC. (NEW YORK NY)

NY

08/10/2007 - 09/27/2012

CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)

NY

03/17/2006 - 08/10/2007

COLLINS STEWART INC. (NEW YORK NY)

DC

02/12/2004 - 11/28/2005

COMPASS POINT RESEARCH & TRADING, LLC (WASHINGTON DC)

CT

04/17/2003 - 01/22/2004

SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)

NY

06/12/2001 - 08/03/2001

WILSON (JR), JOHN E (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/01/2003

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 07/26/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/16/2003

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 Felix Mullen.
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