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Michael Cooley

Cowen AND Co.

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About Michael Cooley

Michael Cooley is a financial professional with over 27 years of experience in the industry. Michael is currently registered with Cowen AND Co. and has prior registrations with several firms, including Jefferies LLC, Citigroup Global Markets Inc., W.R. Hambrecht + Co., LLC, Prudential Securities Incorporated, PaineWebber Incorporated, Hambrecht & Quist LLC, and Rodman & Renshaw Inc. Michael is licensed in all states of the United States and holds Series 7, 24, 57TO, and 63 licenses.

Firm Information

Michael Cooley 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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Michael Cooley’s Registration & Firm History

CA

07/15/2019 - Present

Cowen AND Co. (San Francisco CA)

CA

05/19/2010 - 07/03/2019

JEFFERIES LLC (SAN FRANCISCO CA)

CA

03/15/2001 - 06/02/2010

CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)

CA

01/14/2000 - 02/08/2001

W.R. HAMBRECHT + CO., LLC (SAN FRANCISCO CA)

NY

04/29/1997 - 11/17/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

01/20/1996 - 03/21/1997

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

CA

07/19/1995 - 11/01/1995

HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)

IL

12/16/1994 - 06/21/1995

RODMAN & RENSHAW INC. (CHICAGO IL)

CA

08/23/1993 - 01/31/1994

EXPANSION CAPITAL SECURITIES (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 10/07/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/05/2012

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 08/20/1993

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 no public disclosures for Michael Cooley.
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