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Investment Adviser Firm Summary

COWEN PRIME SERVICES LLC (CRD# 153397 / SEC# 8-68531, 801-72184)
Alternate Names: CONCEPT ASSET MANAGEMENT , CONCEPT CAPITAL MARKETS, LLC , CONCEPT LIFE AGENCY LLC , COWEN OUTSOURCED TRADING , COWEN PRIME ADVISORS , COWEN PRIME SERVICES LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/14/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 01/17/2012
California 07/01/2011
Colorado 01/17/2012
Connecticut 07/08/2011
Delaware 07/08/2011
District of Columbia 07/08/2011
Florida 07/05/2011
Georgia 01/17/2012
Illinois 01/20/2012
Kentucky 01/17/2012
Maine 01/17/2012
Maryland 07/08/2011
Massachusetts 02/08/2012
Michigan 01/17/2012
Minnesota 01/17/2012
Montana 01/17/2012
New Hampshire 01/17/2012
New Jersey 08/08/2011
New Mexico 01/17/2012
New York 03/14/2011
North Carolina 07/08/2011
Ohio 07/08/2011
Oregon 01/17/2012
Pennsylvania 07/08/2011
Rhode Island 01/17/2012
South Carolina 03/08/2018
Tennessee 01/17/2012
Texas 01/17/2012
Vermont 01/17/2012
Virginia 07/08/2011
Washington 01/17/2012
Wisconsin 01/17/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser