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Richard William Collett

Cowen AND Co.

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About Richard William Collett

Richard Collett is a financial advisor with over 30 years of experience in the financial industry. Richard is currently registered with Cowen and Co. and has previously worked with Cowen Execution Services LLC, National Financial Services LLC, and Boston Institutional Services Incorporated. Richard is a registered representative in 21 states and holds Series 6, 7, 9, 10, 63, and SIE licenses.

Firm Information

Richard Collett 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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Richard Collett’s Registration & Firm History

MA

05/31/2017 - Present

Cowen AND Co. (BOSTON MA)

MA

01/06/2006 - 12/31/2017

COWEN EXECUTION SERVICES LLC (BOSTON MA)

MA

04/08/1999 - 01/25/2006

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

MA

11/11/1991 - 03/29/1999

BOSTON INSTITUTIONAL SERVICES INCORPORATED (BOSTON MA)

ME

11/14/1989 - 12/21/1991

TBC FUNDS DISTRIBUTOR, INC. (PORTLAND ME)

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Licenses & Designations

BC

Issued 01/25/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/26/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/23/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/1993

Series 7 - General Securities Representative Examination

BC

Issued 05/11/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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 Richard William Collett.
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