Branch offices
0 offices
FINRA: Small firm
CRD #7616 · FINRA BrokerCheck + SEC IAPD
Cowen and Company
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cowen and Company ranks #89 of 20,055 by disclosure count (most disclosures first). Cowen and Company carries 54 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 54
- disclosures
- #89 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 7616 Cowen and Company
Cowen and Company · Grade F · 54 disc · 54.00/office · Single-office firm
- CRD 7616
- GRADE F
- DISC 54
- REG 46
- ARB 8
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #89 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Sterne, Agee & Leach, Inc. (54.00 disc/office)
Cowen and Company ranks #89 of 20,055 by disclosure count among graded broker-dealers; heavy load at 54.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
54 events
On FINRA BrokerCheck
Regulatory events
46 actions
85% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 46 |
| Arbitrations | 8 |
| Civil Events | 0 |
| Total | 54 |
Counts for Cowen and Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 46 Arbitration 8 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 01/15/2004
- State of Formation
- Delaware
- CRD Number
- 7616
- SEC Number
- 22522
Regulator-heavy mix
Cowen and Company in the heavier-disclosure third
Cowen and Company carries 54 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#89 of 20,055). Regulator-initiated events are 85% of the book (46 regulatory / 8 arbitration / 0 civil).
85% of Cowen and Company's 54 disclosures are regulator-initiated (46 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Cowen and Company's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Cowen and Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cowen and Company ranks #89 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Cowen and Company?
A grade of F reflects Cowen and Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 54 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Cowen and Company have?
Cowen and Company has 54 total FINRA disclosures, including 46 regulatory events, 8 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cowen and Company?
Cowen and Company operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Cowen and Company's disciplinary record?
You can verify Cowen and Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7616. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Cowen and Company's 54 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Cowen and Company because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Cowen and Company carries 54 disclosures across 0 branch offices (about 54.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Sterne, Agee & Leach, Inc. - 54.00 disclosures/office, nearest single-office firm peer to Cowen and Company's 54.00
- ABN Amro Incorporated - 55.00 disclosures/office, nearest single-office firm peer to Cowen and Company's 54.00
- First Montauk Securities Corp. - 53.00 disclosures/office, nearest single-office firm peer to Cowen and Company's 54.00
- Red Flags in Advisor Records - How to read Cowen and Company's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 54 disclosures behind Cowen and Company's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Cowen and Company.
- Compare firms - put Cowen and Company next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.