Full text of NEEDHAM & COMPANY, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (An Indirect Wholly Owned Subsidiary of The Needham Group, Inc.) Statement of Financial Condition ### December 31,2022 (With Report of Independent Registered Public Accounting Firm Thereon) Filed as PUBLIC inþrmation pursuant to Rule 17a-5(d) under the Securities and Exchange Act of 1934. {1}------------------------------------------------ | UN<br>IT<br>ED<br>S<br>TA<br>TE<br>S | |-------------------------------------------------------------------------------------------------------------| | C<br>O<br>IS<br>SI<br>O<br>A<br>N<br>D<br>M<br>M<br>N<br>EX<br>CH<br>AN<br>GE<br>SE<br>CU<br>RI<br>TI<br>ES | | . 2<br>05<br>49<br>.C<br>W<br>hi<br>D<br>to<br>as<br>ng<br>n, | # ANNUAL REPORTS FORM X-17A-5 PART III | Nu<br>mb<br>32<br>35<br>-0<br>12<br>3<br>OM<br>B<br>er: | | |------------------------------------------------------------|--| | O<br>, 2<br>02<br>3<br>Ex<br>ct.<br>31<br>p¡r<br>es: | | | b<br>urd<br>Es<br>tlm<br>ale<br>d<br>en<br>av<br>era<br>ge | | | l2<br>ho<br>r r<br>es<br>po<br>ns<br>e:<br>pe<br>urs | | | | | | | | OMB APPROVAL SEC FILE NUMBER 8-33772 | | G<br>FA<br>C<br>IN<br>G<br>PA<br>E | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|----------------------------------|----------------------------------------------------------|-------------------------------| | t<br>Ru<br>les<br>1<br>7a<br>-5<br>ln<br>fo<br>lo<br>Pu<br>nt<br>at<br>Re<br>ire<br>d<br>o<br>rs<br>ua<br>rm<br>n<br>qu | , l<br>nd<br>nd<br>7a<br>-1<br>2,<br>1<br>8a<br>-7<br>a<br>u<br>er | he<br>t<br>S<br>ec<br>ur | ¡tie<br>Ex<br>ch<br>s<br>an<br>ge | of<br>A<br>1<br>93<br>4<br>ct | | G<br>NG<br>BE<br>IN<br>NI<br>TH<br>E<br>O<br>FI<br>LI<br>NG<br>O<br>PE<br>RI<br>D<br>F<br>R | 0<br>1<br>1<br>0<br>1<br>1<br>2<br>0<br>2<br>2<br>1<br>2<br>3<br>1<br>1<br>2<br>0<br>2<br>2<br>t<br>A<br>N<br>D<br>NG<br>EN<br>DT<br>MM | | /D<br>D/<br>YY | | | | MM<br>/D<br>D/<br>YY | | | | | A<br>. R<br>EG<br>IS | ID<br>EN<br>Tl<br>FI<br>CA<br>TI<br>O<br>N<br>TR<br>AN<br>T | | | | | C<br>N<br>d<br>h<…Read the full text as markdown