Full text of INTESA SANPAOLO IMI SECURITIES CORP.'s X-17A-5 filed 2024-04-11 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **lntesa Sanpaolo IMI Securities Corp.** Statement of Financial Condition December 31, 2023 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE OMS APPROVAL OMS Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER Information Required Pursuant to Rules 17a-s; i7a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2023 . AND ENDING 12/31 /2023 MM/00/YY MM/00/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: lntesa Sanpaolo IMI Securities Corp. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer 0 Security-based swap dealer 0 Check here if respondent is also an OTC derivative,s dealer 0 Major security-based swap participant ' ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1 William Street 9th Floor (No. and Street) New York New York 10004 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Vincent DiBella 212-326-1118 vincenldibella@intesasanpaolo.com (Name) (Area Code-Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* PKF O'Connor Davies LLP (Name- if individual, state last, first, and middle name) 245 Park Avenue 12th Floor New York New York 10167 (Address) (City) (State) (Zip Code) 09/29/2003 127 rte of Regl-tloo oMth PCAOBJI• appUcable) FOR OFFICIAL USE ONLY (PCAOB Registration N"mber, If appUcable) I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis ofthe exemption. See 17 CFR 240.17a-5(e)(1)(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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | I, Vincent DiBella | swear (or affirm} that, to the best of my knowledge and belief, the | | |---------------------------------------------------------------------------------|------------------------------------------------------------------…Read the full text as markdown