Full text of Cowen Financial Products 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 Financial Products LLC Statement of Financial Condition December 31, 2023 (SEC I.D. No. 026-00059) {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5** # **PART Ill** #### **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>___<br>0_1_/0_1/_2_02_3 | AND ENDING | ___<br>1_2_/3'-1_/2-'0:::<br>2c.: 3 | __ | |---------------------------------|-------------------------------|------------|-------------------------------------|----| | | MM/DD/YY | | MM/DD/YY | | #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **\_\_\_\_ C\_o\_w\_e\_n\_Fi\_n\_a\_n\_c\_ia\_l\_P\_r\_od\_uc\_t\_s\_L\_L\_C \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_** TYPE OF REGISTRANT (check all applicable boxes): D Broker-dealer IB1 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.) #### **New York** (City) (No. and Street) **NY** (State) PERSON TO CONTACT WITH REGARD TO THIS FILING **10022** (Zip Code) **Matthew Fludgate 646-562-1824 Matthew.Fludgate@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 One Manhattan West** (Address) **10/20/2003** (Name - if individual, state last, first, and middle name) **New York** (City) **42 NY** (State) **10001** (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \* 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 collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-22522 **599 Lexington Avenue** {2}------------------------------------------------ ##…Read the full text as markdown