Full text of DBS VICKERS SECURITIES (USA) INC.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). 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-5 PART** Ill SEC FILE NUMBER 8-53640 #### **FACING PAGE** Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01101122 AND ENDING <sup>12131122</sup> ---------- ----------- MM/DD/VY MM/DD/VY #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : DBS VICKERS SECURITIES (USA) INC TYPE OF REGISTRANT (check all applicable boxes): **ii** Broker-dealer D Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 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.1 | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing \* WITHUMSMITH+BROWN, PC | WHIPPANY | NJ | 07981-11070 | |----------|---------|-------------------------------------------------------------------------------------| | (City) | (State) | (Zip Code) | | | 100 | | | | | | | | | | | | | | | | | (Name - if individual, state last, first, and middle name)<br>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 supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, ELAINE YU swear (or affirm) t hat, to the best of my knowledge and belief, the financial report pertaining to the firm of DBS VICKERS SECURITIES (USA) INC , as of DECEMBER 31 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or eq uiv…Read the full text as markdown