Full text of Cowen Financial Products 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 Financial Products LLC** **Statement of Financial Condition** **December 31, 2022** *(SEC I.D. No. 026-00059)* {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **ANNUAL REPORTS FORM X‐17A‐5** | OMB APPROVAL | | |--------------------------|--| | OMB Number: 3235‐0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER 8‐22522 # **PART III** | ACING | PAGE | | |-------|------|--| | | | | **Information Required Pursuant to Rules 17a‐5, 17a‐12, and 18a‐7 under the Securities Exchange Act of 1934** | FILING<br>FOR<br>THE<br>PERIOD<br>BEGINNING | 01/01/2022<br>_____________________ | AND<br>ENDING | 12/31/2022<br>______________________ | |---------------------------------------------|-------------------------------------|---------------|--------------------------------------| | | MM/DD/YY | | MM/DD/YY | #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ **Cowen Financial Products LLC** TYPE OF REGISTRANT (check all applicable boxes): ☐ Broker‐dealer Security‐based swap dealer ☐ Major security‐based swap participant ☐ 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<br>_____________________________________________________________________________________ | | 10022 | | (City) | (State) | (Zip Code) | | | PERSON<br>TO<br>CONTACT<br>WITH | REGARD<br>TO<br>THIS<br>FILING | | | | Matthew Fludgate | 646-562-1824<br>_____________________________________________________________________________________ | Matthew.Fludgate@cowen.com | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | | | | | | B.<br>ACCOUNTANT<br>IDENTIFICATION | | | | INDEPENDENT<br>PUBLIC<br>KPMG LLP | ACCOUNTANT<br>whose<br>reports<br>are<br>contained<br>_____________________________________________________________________________________ | in<br>this<br>f…Read the full text as markdown