Full text of INTESA SANPAOLO IMI SECURITIES CORP.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Intesa Sanpaolo IMI Securities Corp. Statement of Financial Condition December 31, 2020 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 {1}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31,2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-37444 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | |--------------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------------------------------------------|--------------------------------|--| | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: lntesa Sanpaolo IMI Securities Corp. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 1 William Street 9th Floor | | | | | | | (No. and Street) | | | | | New York | New York | 10004 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Vincent DiBella | 212-326-1 11 8 | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Crowe LLP | (Name - if individual, state last,firsl, middle name) | | | | | 485 Lexington Ave | New York | New York | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > Potential 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 OMB control number. SEC 1410 (11-05) {2}------------------------------------------------ ### OATH OR AFFIRMATION | 1, Vincent DiBella | | , swear (or affirm) that, to the best of |…Read the full text as markdown