Full text of COWEN AND COMPANY, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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 As of December 31, 2023 (SEC I.D. No. 8-22522) {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS** # **FORM X-17A-S** # **PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | MM/DD/VY | | MM/DD/VY | | |---------------------------------|--------------------------|------------------|--------------------------------|--| | FILING FOR THE PERIOD BEGINNING | ___<br>0_1_/0_1_/_20_2_3 | __<br>AND ENDING | __<br>___<br>1_2_/3_1_/2_0_2_3 | | #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : **Cowen and Company, LLC** ---------------------------------- 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.) | | (No. and Street) | | | | | | | |--------------------------------------------------|---------------------------------------------------------------------------|-----------------------------|--------------------------------------------|--|--|--|--| | New York | NY | | | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Christine Jenkins | 786-522-4103 | Christine.Jenkins@cowen.com | | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Ernst & Young LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | New York | NY | 10001 | | | | | | One Manhattan West | | (City)<br>(State) | | | | | | | (Address) | | | (Zip Code) | | | | | | 10/20/2003 | | 42 | | | | | | | (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 statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collectio…Read the full text as markdown