Rep Poppell
Compliance Officer at Cowen Prime Services LLC
Profile
Mr. Rep Poppell is Chief Compliance Officer at Cowen Prime Services LLC.
Prior to the acquisition of Concept Capital Markets, LLC by Cowen Group, Inc., Mr. Poppell served as Chief Compliance Officer of Concept.
He has more than 24 years of securities industry experience with an emphasis in compliance, operations, and administrative activities.
Mr. Poppell became affiliated with the company’s predecessor in August 2009 as a Senior Vice-President, Institutional Compliance, and previously served that entity as a compliance consultant through his Regulatory Compliance Solutions, LLC.
Mr. Poppell brings to his position a wealth of experience in a wide range of compliance issues.
From 1997 through 2009, he served as a Senior Vice-President and Director of Compliance at Stanford Group Company including in its Institutional division from 2006 through 2009, where his duties included implementing, directing and managing the compliance program respective to the Institutional Division Products and Services, Institutional Sales and Sales Trading, Market Making, Fixed Income Trading, Investment Banking, Equity Capital Markets, and Research (Equity and Policy).
Between 1985 and 1997, Mr. Poppell was employed by Lehman Brothers, Inc. where he directed and supervised Lehman’s South Region registered and non-registered employees, served as Syndicate Manager, Product Liaison and Sales Supervisor.
In addition, Mr. Poppell directed all processing of customer complaints, conducted quarterly business reviews with investment representatives and supervised all security trading activities.
He graduated with a Bachelor of Science in Microbiology/Biology from University of Georgia in 1983 and an M.B.A.
in International Business/Finance from Georgia State University in 1986.
Mr. Poppell also is a Certified Regulatory and Compliance Professional (CRCP), FINRA Institute at Wharton Certificate Program, May 2003.
Rep Poppell active positions
| Companies | Position | Start |
|---|---|---|
Cowen Prime Services LLC
 Cowen Prime Services LLC Investment Banks/BrokersFinance Cowen Prime Services LLC (CPS) is a broker-dealer headquartered in New York City. The firm is directly owned by Cowen PB Holdings LLC, which, in turn, is primarily owned by Cowen Group, Inc. (NASDAQ: COWN). CPS is registered as a broker-dealer with the SEC and FINRA, and as a an introducing broker with the Commodities Futures Trading Commission and the National Futures Association. CPS was formed in 2015 following Cowen Group’s acquisition of Concept Capital Markets LLC. Concept Capital was established in 2010 following the spin-off of the Concept Capital division of Sanders Morris Harris Inc., whose origins date back to 1995. CPS' offering includes world-class custody and clearing options, multi asset class capabilities, leading execution and order management systems, a seasoned execution desk, a range of financing options, a highly professional operations and customer support team, comprehensive portfolio reporting capabilities, capital introduction, and live, intraday and post-trade risk and performance analytics. | Compliance Officer | 2010-02-28 |
Former positions of Rep Poppell
| Companies | Position | End |
|---|---|---|
Stanford Group Co.
 Stanford Group Co. Investment Banks/BrokersFinance Founded in 1932, Stanford Group Co. is a broker/dealer headquartered in Houston, Texas with offices nationwide. They are a subsidiary of Stanford Financial Services, Inc. and their ultimate parent is CBaySystems Holdings Ltd. The firm offers a full range of brokerage services for both domestic and international clients. They are a member of the NASD and the SIPC. Stanford's research includes both institutional equity research and Washington-focused policy research, offering a perspective on individual companies, sector-specific topics and national policy. Their equity analysts offer insight and opinions on companies in the consumer/retail, media, energy, financial institutions, healthcare, technology and water/environment sectors, targeting small- and mid-cap companies. Their policy analysts deliver investment relevant insights across a broad range of sectors, including geopolitics, international/trade, Federal Reserve board policy, health care (including services, medical devices and pharmaceuticals, telecom, media, financial services, water/environment, agribusiness/tobacco, energy) and technology (including information technology services, homeland security and biometrics/emerging technologies). | Corporate Officer/Principal | 2009-12-30 |
Lehman Brothers, Inc.
 Lehman Brothers, Inc. Investment Banks/BrokersFinance A subsidiary of Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. is a broker/dealer headquartered in New York City. They provide global equity and fixed research. The equity research department covers more than 100 sectors. They use a fundamental, quantitative, strategic and tactical research approach. In addition to these Lehman has also developed special products, such as 10 uncommon values and 10 uncommon eurovalues. | Corporate Officer/Principal | 1997-12-30 |
Training of Rep Poppell
| University of Georgia | Undergraduate Degree |
| Georgia State University | Masters Business Admin |
Experiences
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1st degree connections
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Linked companies
| Private companies | 3 |
|---|---|
Cowen Prime Services LLC
Cowen Prime Services LLC Investment Banks/BrokersFinance Cowen Prime Services LLC (CPS) is a broker-dealer headquartered in New York City. The firm is directly owned by Cowen PB Holdings LLC, which, in turn, is primarily owned by Cowen Group, Inc. (NASDAQ: COWN). CPS is registered as a broker-dealer with the SEC and FINRA, and as a an introducing broker with the Commodities Futures Trading Commission and the National Futures Association. CPS was formed in 2015 following Cowen Group’s acquisition of Concept Capital Markets LLC. Concept Capital was established in 2010 following the spin-off of the Concept Capital division of Sanders Morris Harris Inc., whose origins date back to 1995. CPS' offering includes world-class custody and clearing options, multi asset class capabilities, leading execution and order management systems, a seasoned execution desk, a range of financing options, a highly professional operations and customer support team, comprehensive portfolio reporting capabilities, capital introduction, and live, intraday and post-trade risk and performance analytics. | Finance |
Stanford Group Co.
Stanford Group Co. Investment Banks/BrokersFinance Founded in 1932, Stanford Group Co. is a broker/dealer headquartered in Houston, Texas with offices nationwide. They are a subsidiary of Stanford Financial Services, Inc. and their ultimate parent is CBaySystems Holdings Ltd. The firm offers a full range of brokerage services for both domestic and international clients. They are a member of the NASD and the SIPC. Stanford's research includes both institutional equity research and Washington-focused policy research, offering a perspective on individual companies, sector-specific topics and national policy. Their equity analysts offer insight and opinions on companies in the consumer/retail, media, energy, financial institutions, healthcare, technology and water/environment sectors, targeting small- and mid-cap companies. Their policy analysts deliver investment relevant insights across a broad range of sectors, including geopolitics, international/trade, Federal Reserve board policy, health care (including services, medical devices and pharmaceuticals, telecom, media, financial services, water/environment, agribusiness/tobacco, energy) and technology (including information technology services, homeland security and biometrics/emerging technologies). | Finance |
Lehman Brothers, Inc.
Lehman Brothers, Inc. Investment Banks/BrokersFinance A subsidiary of Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. is a broker/dealer headquartered in New York City. They provide global equity and fixed research. The equity research department covers more than 100 sectors. They use a fundamental, quantitative, strategic and tactical research approach. In addition to these Lehman has also developed special products, such as 10 uncommon values and 10 uncommon eurovalues. | Finance |
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