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Scott Andrew Smith

Cowen AND Co.

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About Scott Andrew Smith

Scott Andrew Smith is a financial advisor with Cowen AND Co., with over 27 years of experience in the financial services industry. Scott has held previous positions at firms such as Credit Suisse Securities (USA) LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities Inc., and Lehman Brothers Inc. Scott holds Series 7, 10, 24, and 63 licenses. Scott is currently registered with the state of New York.

Firm Information

Scott Smith 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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Scott Smith’s Registration & Firm History

NY

08/30/2023 - Present

Cowen AND Co. (NEW YORK NY)

NY

04/22/2019 - 09/25/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

06/22/2015 - 03/18/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

04/30/2007 - 07/02/2015

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

04/30/2003 - 05/07/2007

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

07/08/1996 - 04/21/2003

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/02/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/14/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/03/1996

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 Scott Andrew Smith.
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