Full text of SEB SECURITIES, INC.'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}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31 , 2022 {1}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------------------|--------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | Washington, D.C. 20549 | | Estimated average burden<br>hours per response:<br>12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8-40644 | | | | PART III | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING 12/31/2022<br>MM/DD/VY | | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: SEB Securities, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | | [ Major security - based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 245 Park Avenue, 33rd floor | | | | | | | (No. and Street) | | | | | New York | New York | | 10167 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Anna Elinore Stroem | (212)907-4855 | | elinore.strom@sebny.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" | | | | | | CohnReznick LLP | | | | | | | (Name - it individual, state last, first, and middle name) | | | | | 1301 Avenue of the Americas New York | | | New York 10019 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/14/2003 | | 596 | | | | (Date of Registration with PCAOB){if applicable} | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | " Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supporte…Read the full text as markdown