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Thomas Gilligan

Cowen AND Co.

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About Thomas Gilligan

Thomas Gilligan is a financial advisor with Cowen And Co. Thomas has been in the industry since 2004. Thomas holds the Series 3, Series 7, and Series 63 licenses. Thomas is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered in Connecticut, Massachusetts, and New York. Previously, Thomas was with Scott & Stringfellow, LLC, Cantor Fitzgerald & Co., FMSBONDS, INC., and Morgan Stanley & Co. Incorporated.

Firm Information

Thomas Gilligan 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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Thomas Gilligan’s Registration & Firm History

CT

09/04/2014 - Present

Cowen AND Co. (Stamford CT)

NY

01/02/2013 - 03/11/2014

BB&T SECURITIES, LLC (NEW YORK NY)

NY

07/15/2011 - 01/02/2013

SCOTT & STRINGFELLOW, LLC (NEW YORK NY)

NY

11/01/2010 - 07/05/2011

CANTOR FITZGERALD & CO. (NEW YORK NY)

CT

04/06/2009 - 10/29/2010

FMSBONDS, INC. (GREENWICH CT)

NY

12/03/2003 - 04/06/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/16/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/02/2004

Series 3 - National Commodity Futures Examination

BC

Issued 12/02/2003

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 Thomas Gilligan.
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