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Purvi Modi-patel

Cowen AND Co.

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About Purvi Modi-patel

Purvi Modi-patel is a financial professional with over 20 years of experience in the industry. Purvi is currently registered with Cowen and Co. and has been with the firm since October 2017. Purvi has previously held positions at firms including RBC Capital Markets, LLC, Knight Capital Americas LLC, and BNY ConvergEx Execution Solutions LLC. Purvi is licensed to offer securities and investment advisory services in Connecticut, New Jersey, and New York.

Firm Information

Purvi Modi-patel 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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Purvi Modi-patel’s Registration & Firm History

CT

10/26/2017 - Present

Cowen AND Co. (Stamford CT)

NY

09/11/2015 - 11/19/2018

COWEN EXECUTION SERVICES LLC (NEW YORK NY)

NY

03/04/2015 - 09/11/2015

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NJ

07/02/2012 - 04/12/2013

KNIGHT CAPITAL AMERICAS LLC (JERSEY CITY NJ)

NJ

06/23/2008 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)

NY

01/02/2007 - 06/04/2008

BNY CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)

NY

07/23/2001 - 01/02/2007

LYNCH, JONES & RYAN LLC (NEW YORK NY)

NE

12/06/2000 - 03/05/2001

DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)

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Licenses & Designations

BC

Issued 02/06/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/2000

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 Purvi Modi-patel.
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