Full text of NEEDHAM & COMPANY, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **NEEDHAM & COMPANY, LLC** (An Indirect Wholly Owned Subsidiary of The Needham Group, Inc.) Statement of Financial Condition # December 31, 2023 (With Report of Independent Registered Public Accounting Firm Thereon) *Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities and Exchange Act of 1934.* {1}------------------------------------------------ | 0MB APPROVAL<br>0MB Number: 323S-0123<br>Expires: Nov, 30, 2026<br>Estimated averi!Be burden<br>hours per response: 12<br>SEC FIL£ NUMBER<br>8-33772 | |------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>12/31/2023 | | MM/DD/YY | | | | | | | | | | D Major security-based swap participant | | | | | | | | | | 10177 | | (Zip Code) | | | | | | rfiordaliso@needhamco.com | | | | | | | | | | | | | | | | New York 10036 | | (Zip Code) | | | | (PCAOB Rewstrallon Number, If applicable) | | | **• Claims for eKemptlon from the requirement that the annual reports be covered by the reports of an Independent publlc 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 appllcable.** **Persons who are to respond to the collectlon of Information contained In this form are not required to respond unless the form dlsplays a currendy valid 0MB control number.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** **I, Jack Iacovone swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Needham & Company, LLC\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ , as of** 12/31 \_, **2� is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in a account classified solely as that of a customer.** *�u* **/ Notilry Public** **Salvatore A Merlino NOTARY PUBLIC, STATE OF NBWYOlU( Rcg1stmrion No. 0lME:6326003 flunhfied in New York County Mv Commission Expires 6/8/2027** Ti\_!! t.hlef Executive Officer #### **This filing""' contains (check all applicable boxes):** - **ii (a) Statement of financlal condition.** - **ii (b) Notes to consolidated statement…Read the full text as markdown