Full text of SMBC NIKKO SECURITIES AMERICA, INC.'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}------------------------------------------------ # SMBC NIKKO SECURITIES AMERICA, INC. AND SUBSIDIARY (An Indirect Subsidiary of Sumitomo Mitsui Banking Corporation) Consolidated Statement of Financial Condition December 31, 2023 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ #### SMBC NIKKO SECURITIES AMERICA, INC. AND SUBSIDIARY Page(s) (An Indirect Subsidiary of Sumitomo Mitsui Banking Corporation) #### Table of Contents | Consolidated Statement of Financial Condition | 1 | |--------------------------------------------------------|------| | Notes to Consolidated Statement of Financial Condition | 2–17 | {2}------------------------------------------------  {3}------------------------------------------------ #### SMBC NIKKO SECURITIES AMERICA, INC. AND SUBSIDIARY (An Indirect Subsidiary of Sumitomo Mitsui Banking Corporation) Consolidated Statement of Financial Condition December 31, 2023 | Assets | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | Cash and cash equivalents<br>Securities purchased under agreements to resell<br>Securities borrowed<br>Financial instruments owned, at fair value (including securities pledged of \$246,661,539)<br>Receivable from brokers, dealers and clearing organizations<br>Underwriting fee receivable<br>Receivable from affiliates<br>Furniture, equipment, and leasehold improvements, net of accumulated depreciation<br>and amortization of \$24,588,531<br>Deferred tax assets, net<br>Other assets<br>Total assets | \lt;br>750,822,934<br>8,612,037,032<br>384,273,710<br>7,481,370,135<br>1,216,328,776<br>19,955,069<br>26,939,438<br>45,896,924<br>14,588,746<br>108,572,213<br>\$ 18,660,784,977 | | Liabilities and Stockholders' Equity | | | Liabilities:<br>Securities sold under agreements to repurchase<br>Secur…Read the full text as markdown