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John Carneglia

Cowen AND Co.

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About John Carneglia

John Carneglia is an active advisor with over 20 years in the industry. John is currently registered with Cowen AND Co., based in Garden City, NY. John is a well-rounded advisor with a wide range of experience, including serving as a principal at Cowen Execution Services LLC, ATM Execution LLC, and BNP Paribas Securities Corp.

Firm Information

John Carneglia 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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John Carneglia’s Registration & Firm History

NY

04/28/2020 - Present

Cowen AND Co. (Garden City NY)

NY

03/25/2019 - 05/01/2020

COWEN EXECUTION SERVICES LLC (NY NY)

NY

07/15/2019 - 11/27/2019

ATM EXECUTION LLC (NEW YORK NY)

NY

11/06/2006 - 02/21/2019

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

03/09/2009 - 07/19/2018

BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)

NY

06/08/2004 - 11/15/2006

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

07/27/2001 - 10/10/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 08/15/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/13/2017

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 03/18/2010

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/21/2001

Series 31 - Futures Managed Funds Examination

BC

Issued 07/26/2001

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

N

NYSE American LLC

N

NYSE Arca, 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 2 public disclosures for John Carneglia. Review regulatory record here.
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