Full text of UNICREDIT CAPITAL MARKETS LLC's X-17A-5 filed 2024-02-13 (period 2023-12-31). 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 31, 2023 {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill OMBAPPROVAL 0MB Number: 3235-0123 Expires: Nov, 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-23081 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** AND ENDING **12/31/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Unicredit Capital Markets LLC TYPE OF REGISTRANT {check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer 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 | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # Mazars USA LLP | 135 West 50th Street | New York | NY | 10020 | |------------------------------------------------|-----------------------|---------|-----------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 10/08/2003 | | 339 | | | r•<br>ofR,g;stratioo .ath PCAOBl(lf applicab•I | | | )PCAOB "''"'",;'" Nombec, ff appUcable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | 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), if 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}----------------------------------…Read the full text as markdown