# COWEN AND COMPANY

> FINRA firm 7616 · **⚠ HAS DISCLOSURE EVENTS**

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 7616
- **Firm name:** COWEN AND COMPANY
- **Other names:** COWEN & CO., LLC, TD COWEN PRIME EXECUTION SERVICES, TD COWEN, SOGEN SECURITIES CORPORATION, SOCIETE GENERALE SECURITIES CORPORATION, SG COWEN SECURITIES CORPORATION, SG COWEN & CO., LLC, HUDSON SECURITIES, INC., COWEN AND COMPANY, LLC, COWEN AND COMPANY
- **Investment Adviser scope:** —
- **SEC BD file number:** 8-22522
- **Branches:** 0
- **Has disclosure events:** YES

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/7616

## Citation

> FINRA BrokerCheck, firm 7616 (COWEN AND COMPANY). Retrieved via AI Analytics 2026-05-16 from https://api.ai-analytics.org/broker/7616.

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