Full text of COWEN AND COMPANY, LLC's X-17A-5 filed 2023-02-24 (period 2022-12-31). 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, 2022 (SEC I.D. No. 8-22522) {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-5** | 0MB APPROVAL<br>0MB Number: 3235-0123 | | |---------------------------------------|--| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | **PART** Ill SEC FILE NUMBER 8-22522 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | | ___<br>0_1_/0_1_/2_02_2<br>MM/DD/YY | __<br>AND ENDING | __<br>___<br>1_2_/3_1_/2_0_2_2<br>MM/DD/YY | | | |---------------------------------|--------------------------------------|-------------------------------------|------------------|--------------------------------------------|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF Fl RM: ____ | C_o_w_e_n_a_n_d_C_o_m_p_an_y_,_L_L_C | | | _________________<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes): IBJ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ### **599 Lexington Avenue** | | (No. and Street) | | | |--------------------------------------------------|---------------------------------------------------------------------------|---------------------------|--------------------------------------------| | New York | NY | | 10022 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Joel Potenciano | 646-562-1714 | Joel.Potenciano@cowen.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | KPMG LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | New York | NY | 10154 | | 345 Park Avenue<br>(Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 185 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a stateme…Read the full text as markdown