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Steven E. Hulce

Cowen AND Co.

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About Steven E. Hulce

Steven E. Hulce is a financial advisor with Cowen AND Co. in Stamford, Connecticut. Steven has been working in the securities industry for over 19 years, and holds the Series 3, 7, 24, and 63 licenses. Steven's previous experience includes working for CREDIT SUISSE SECURITIES (USA) LLC in New York, NY. Steven is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed in Connecticut and New York.

Firm Information

Steven Hulce 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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Steven Hulce’s Registration & Firm History

CT

10/03/2023 - Present

Cowen AND Co. (Stamford CT)

NY

09/22/2004 - 10/30/2023

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

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Licenses & Designations

BC

Issued 09/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/19/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/06/2004

Series 3 - National Commodity Futures Examination

BC

Issued 09/21/2004

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 Steven E. Hulce.
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