Full text of COWEN EXECUTION SERVICES LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Cowen Execution Services LLC** **Statement of Financial Condition** **December 31, 2019** *(SEC I.D. No. 8-46838)* {1}------------------------------------------------ UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response •• , 12.00 # ANNUAL AUDITED REPORT FORM X-17 A-5 **PART** Ill | I | | | |-----------------|--|---| | SEC FILE NUMBER | | I | | 8-22522 | | | ### **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 | __<br>19 ___<br>0<br>,.1<br>.,.,, 10,.,,.,1<br>12,,,.<br>0_<br>,,.,,.<br>MM/DD/YY | AND ENDING | ____<br>___ 1<br>2<br>2<br>01_9<br>13_<br>11_<br>_<br>_<br>_<br>_<br>MM/DD/YY | |----------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------|------------|-------------------------------------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER:<br>Cowen Execution Services, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>599 Lexington Avenue, 21 Floor | | | OFFICIAL USE ONLY<br>FIRM ID. NO. | | 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>Stephen Lasota | | | 212-845-7919<br>(Area Code - Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>KPMG LLP | | | | | 345 Park Avenue | {Name - of individual, state last. first, middle name)<br>New York | NY | 10154 | | (Address) | (Crty) | {State) | (Zip Code) | | CHECK ONE:<br>X Certified Public Accountant<br>D Public Accountant | D 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 coll…Read the full text as markdown