Chief Compliance Officer

0000890163-16-000152.txt : 20161108 0000890163-16-000152.hdr.sgml : 20161108 20161108110734 ACCESSION NUMBER: 0000890163-16-000152 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161108 DATE AS OF CHANGE: 20161108 EFFECTIVENESS DATE: 20161108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cowen Prime Services LLC CENTRAL INDEX KEY: 0001543830 IRS NUMBER: 270423711 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14944 FILM NUMBER: 161980356 BUSINESS ADDRESS: STREET 1: 1010 FRANKLIN AVENUE STREET 2: SUITE 303 CITY: GARDEN CITY STATE: NY ZIP: 11530 BUSINESS PHONE: 800-281-5984 MAIL ADDRESS: STREET 1: 1010 FRANKLIN AVENUE STREET 2: SUITE 303 CITY: GARDEN CITY STATE: NY ZIP: 11530 FORMER COMPANY: FORMER CONFORMED NAME: Concept Capital Markets, LLC DATE OF NAME CHANGE: 20120305 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001543830 XXXXXXXX 09-30-2016 09-30-2016 false Cowen Prime Services LLC

1010 Franklin Avenue Suite 303 Garden City NY 11530

13F HOLDINGS REPORT 028-14944 N Rep Poppell Chief Compliance Officer 212-702-7157 /s/ Rep Poppell New York NY 11-08-2016 0 275 220242 INFORMATION TABLE 2 infotable.xml ARI NETWORK SVCS INCCOM NEW Stock 001930205 6136 1381950 SH SOLE 0 0 6136 AT&T INC COM Stock 00206R102 904 22269 SH SOLE 0 0 904 ABBVIE INC COM Stock 00287Y109 3176 50350 SH SOLE 0 0 3176 ACCURAY INC DEL COM Stock 004397105 965 151500 SH SOLE 0 0 965 ADAMISPHARMACEUTICALS CORPCOM NEWISIN#US00547W2089 Stock 00547W208 0 6 SH SOLE 0 0 0 ADVANTAGE OIL & GASLTDCOMISIN#CA00765F1018 Stock 00765F101 7 1000 SH SOLE 0 0 7 AEGON N VORD AMER REG Stock 007924103 6 1465 SH SOLE 0 0 6 AGNICO EAGLE MINESLTD COM Stock 008474108 27 500 SH SOLE 0 0 27 AIXTRON SESPONSORED ADR REPSTGORD SHSISIN#US0096061041 Stock 009606104 229 37763 SH SOLE 0 0 229 ALCOA INC COM Stock 013817101 10 1000 SH SOLE 0 0 10 ALIBABA GROUP HLDGLTD SPONSORED ADSISIN#US01609W1027 Stock 01609W102 21 200 SH SOLE 0 0 21 ALLETE INC COM NEW Stock 018522300 10 166 SH SOLE 0 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