Full text of COWEN AND COMPANY, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Cowen and Company, LLC** **Statement of Financial Condition December 31, 2020** *(SEC I.D. No. 8-22522)* {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2023 Estimated average burden hours per response . . . 12.00** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | | | | 8-65509 | | | | | ### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING ____________________ AND ENDING ___________________________ | 01/01/2020 | | 12/31/2020 | | |---------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------------------|---------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER:<br>Cowen and Company,<br>LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | | 599 Lexington Avenue | | | | | | New York | (No. and Street)<br>NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Francis Jordan | | | 646-690-3257<br>(Area Code − Telephone No.) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>KPMG LLP | | | | | | | (Name − of individual, state last, first, middle name) | | | | | 345 Park Avenue | New York | NY | 10154 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>X Certified Public Accountant<br> Public Accountant<br> Accountant not resident in United States or any of its possessions. | | | | | **FOR OFFICIAL USE ONLY** *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2)* SEC 1410 (06-02) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displ…Read the full text as markdown