Full text of UNICREDIT CAPITAL MARKETS LLC's X-17A-5 filed 2023-02-13 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **UNICREDIT CAPITAL MARKETS LLC** (A Wholly-Owned Subsidiary of UniCredit U.S. Finance LLC) Financial Statement December 3 1, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: I~ ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-230081 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1 /Q 1 /2022** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Unicredit Capital Markets LLC TYPE OF REGISTRANT (check all applicable boxes): Ii! Broker-dealer D Security-based swap dealer D Major security-based swap participant ::J Check here if respondent is also an OTC derivatives dealer AND ENDING **12/31/2022** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 150 East 42nd Street | | (No. and Street) | | | |----------------------------------------------|---------------------------------------------------------------------------|-----------------|-------------------------------------------| | New York | New York | | 10017 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Dominick Valente | 212 672-5884 | | dominick_valente@unicredit.eu | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Mazars USA LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 135 West 50th Street | New York | NY | 10020 | | (Address) | (City) | (State) | (Zip Code) | | | | | | | 10/08/2003 | | 339 | | | | | | (PCAOB RegotraUoo N"mbe,, ;f appHcable) I | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), rf applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}------------------------------------------------ #### **OATH OR…Read the full text as markdown