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William Kent Frohnhoefer

Cowen AND Co.

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About William Kent Frohnhoefer

William Frohnhoefer is a financial professional with over 20 years of experience in the financial industry. William is currently registered with Cowen and Co. in Red Bank, NJ. William is also registered in Connecticut, New Jersey, and New York. William has a Series 7, Series 86, Series 87, and Series 63 licenses. William has previously worked at BTIG, LLC, Oppenheimer & Co. Inc., CIBC World Markets Corp., and Dresdner Kleinwort Wasserstein - Grantchester, Inc.

Firm Information

William Frohnhoefer 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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William Frohnhoefer’s Registration & Firm History

NJ

05/16/2016 - Present

Cowen AND Co. (Red Bank NJ)

NY

03/29/2010 - 02/16/2016

BTIG, LLC (NEW YORK NY)

NY

02/02/2010 - 03/30/2010

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

01/14/2008 - 01/16/2009

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

06/23/2005 - 01/14/2008

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

05/07/1998 - 04/25/2002

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/21/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/2011

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/01/2011

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/05/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, 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 William Kent Frohnhoefer.
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