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Vincent Formato

Cowen AND Co.

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About Vincent Formato

Vincent Formato has been in the securities industry since September 12, 1995. Vincent is currently registered with Cowen AND Co. Vincent is also a Series 7, Series 24, Series 63, and SIE licensed professional. Vincent has been registered with Cowen AND Co. since July 1, 1998. Vincent previously worked for COWEN & CO. from September 13, 1995 to July 1, 1998. Vincent is registered in California, Connecticut, Illinois, Massachusetts, New Jersey, New York, Pennsylvania, Texas, and Washington. Vincent is licensed to conduct business in the United States.

Firm Information

Vincent Formato 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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Vincent Formato’s Registration & Firm History

NY

07/01/1998 - Present

Cowen AND Co. (Garden City NY)

NY

09/13/1995 - 07/01/1998

COWEN & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/23/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/13/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/1995

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 Vincent Formato.
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