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Francine Greenberg

Cowen AND Co.

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About Francine Greenberg

Francine Greenberg is a financial advisor currently associated with Cowen AND Co. in Stamford, CT. She is registered with the state of Connecticut. Francine is also registered with FINRA and has over 30 years of experience in the financial industry. Francine has passed the Series 7, Series 55, Series 57TO, and SIE exams. She is also licensed to sell securities in New York. Prior to joining Cowen AND Co., Francine worked for COWEN EXECUTION SERVICES LLC and EXECUTION SERVICES INCORPORATED.

Firm Information

Francine Greenberg 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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Francine Greenberg’s Registration & Firm History

CT

10/26/2017 - Present

Cowen AND Co. (Stamford CT)

NY

01/01/1994 - 11/19/2018

COWEN EXECUTION SERVICES LLC (NEW YORK NY)

NY

01/24/1991 - 01/01/1994

EXECUTION SERVICES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/04/1991

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 12/01/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/23/1991

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 Francine Greenberg.
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