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Sean Andrew MacKenzie

Cowen AND Co.

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About Sean Andrew MacKenzie

Sean MacKenzie has been in the financial services industry since August 2003. Currently, Sean is registered with Cowen AND Co. in New York, NY and holds Series 7, 24, 55, 57TO and Series 63 licenses. Sean has previous experience with TD Securities (USA) LLC, BMO Capital Markets Corp., RBC Capital Markets Corporation and RBC Capital Markets Corporation.

Firm Information

Sean MacKenzie 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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Sean MacKenzie’s Registration & Firm History

NY

02/13/2024 - Present

Cowen AND Co. (NEW YORK NY)

NY

09/03/2019 - 03/04/2024

TD SECURITIES (USA) LLC (NEW YORK NY)

NY

12/02/2009 - 06/15/2019

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

NY

02/29/2008 - 09/25/2009

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

03/17/2003 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/07/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/24/2005

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 01/12/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/14/2003

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 Sean Andrew MacKenzie.
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