Full text of NATWEST MARKETS SECURITIES INC.'s X-17A-5 filed 2024-02-20 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # NatWest Markets Securities Inc. (S.E.C. I.D. No. 8-37135) # Statement of Financial Condition as of December 31, 2023 and Report of Independent Registered Public Accounting Firm Filed pursuant to 17a-S(e)(3) Under the Securities Exchange Act of 1934 as a Public Document {1}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | |-----------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number:<br>3235-0123 | | | | Washington, D.C. 20549 | | Expires:<br>Nov. 30, 2026 | | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | ANNUAL AUDITED REPORT | | | | | FORM X-17A-S | | | SEC FILE NUMBER | | | | PART Ill | | 8-37135 | | | | | | | | | | FACING PAGE | | | | | Information Requested of Brokers and Dealers Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/23 | AND ENDING | 12/31/23 | | | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM:<br>NATWEST MARKETS SECURITIES INC. | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | 0 Broker-dealer<br>□ Security-based swap dealer | | □ 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 P.O. Box No.) | | | | | | 600 WASHINGTON BOULEVARD | | | | | | | (No. and street) | | | | | STAMFORD | CT | 06901 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | ADAM TREBING | 203-897-2032 | | ADAM.TREBING@NATWESTMARKETS.COM | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | | | ERNST & YOUNG, LLP | (Name - if individual, state last, first, middle name) | | | | | | | | | | | ONE MANHATTAN WEST | NEW YORK | NY | 10001 |…Read the full text as markdown