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James Francis Puliafico

Cowen AND Co.

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About James Francis Puliafico

James Puliafico is a securities professional with over 12 years of experience in the industry. James is currently registered with Cowen AND Co. and ATM Execution LLC. Previously, James has also held positions at COWEN EXECUTION SERVICES LLC, JEFFERIES LLC, and BARCLAYS CAPITAL INC. James is licensed to operate in both New Jersey and New York.

Firm Information

James Puliafico 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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James Puliafico’s Registration & Firm History

NJ

04/24/2020 - Present

Cowen AND Co. (Red Bank NJ)

NY

02/20/2018 - 07/21/2020

COWEN EXECUTION SERVICES LLC (NY NY)

NY

07/21/2015 - 02/09/2018

JEFFERIES LLC (NEW YORK NY)

NY

06/07/2010 - 07/15/2015

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/10/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 06/17/2019

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/2010

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 James Francis Puliafico.
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