Concept Capital Markets, LLC Information

Cowen Prime Services was formed in 2015 following Cowen Group’s (Nasdaq: COWN) acquisition of Concept Capital Markets, LLC. Cowen Prime Services LLC offers a comprehensive suite of brokerage and related services that provide traditional and alternative investment managers with solutions that are customizable and scalable. The firm was built by former investment managers to serve hedge fund managers, managed account platforms, institutional investors, family offices, and registered investment advisers with turn-key solutions designed to free its clients to focus on their core competencies. Our offering features world-class custody and clearing options, multi asset class capabilities, leading execution and order management systems, a seasoned execution desk, a range of financing options, a highly professional operations and customer support team, comprehensive portfolio reporting capabilities, and capital introduction. Cowen Prime Services LLC is headquartered in Garden City, New York and operates offices in New York City, Greenwich, CT, Alpharetta, GA, Chicago, IL, Santa Monica, CA and El Segundo, CA. The firm is registered as a Broker Dealer and Investment Adviser with the SEC, and is a member of FINRA, NFA, and SIPC. Our parent company is Cowen Group, a publicly-traded diversified financial services firm with a rich history that reflects the focus and entrepreneurial spirit that continues to characterize the firm. Since its formation in 1918 as a small bond brokerage business in the heart of New York’s financial district, Cowen Group has grown into a leading diversified financial services company with operating businesses focused on the value of active management and alpha generation.