Full text of DBS VICKERS SECURITIES (USA) INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | | | SEC FILE NUMBER | | |--|-----------------|--| | | | | 8-53640 | | | | 12131121 | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 01101121 | | ----------<br>MM/D0/YY | AND ENDING | -----------<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: DBS VICKERS SECURITIES (USA) INC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | D Security-based swap dealer | | □ Major security-based swap participant | | | | 777 THIRD AVENUE, SUITE 1701 | | | | | | | | | (No. and Street) | | | | | NEW YORK | | NY | | 10017 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | MICHAEL T MARRONE | 646-930-1906 | | | MICHAELMARRONE@DBS.COl-1 | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>WITHUMSMITH+BROWN, PC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 200 JEFFERSON PARK, SUITE 400 | | WHIPPANY | NJ | 07981-11070 | | | (Address} | | (City) | (State) | (Zip Code) | | | 10/08/2003 | | | 100 | | | | T"<br>of R,g;m,Uo" with PCADB)(;f applicabl•) | | | | (PCAOB "''""•Uoo N,mb,c, ;f applicabl,) I | | CFR 240.17a-S(e)(l)(ii}, if applicable. Persons who are to respond to the collectlon of information contained In this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, ELAINE YU swear (or affirm) that, to the best of my…Read the full text as markdown