Full text of DBS VICKERS SECURITIES (USA) INC.'s X-17A-5 filed 2024-03-15 (period 2023-12-31). 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 III | OMB APPRITIVAL | |---------------------------| | OME NUMBER: 3235-0123 | | Expires Nov. 30, 2026 | | Estimated average burden | | 12<br>hours per response. | 8-53640 | 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 01/01/23 | | | AND ENDING 12/31/23 | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: DBS VICKERS SECURITIES (USA) INC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[ Security-based swap dealer<br>Broker-dealer<br>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.) | | | | [] 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 | | | | | | MICAHEL T MARRONE 646-930-1906 | | | | MICHAELMARRONE@DBS.COM | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ALLOUNIANI 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 | | | No. 11. | 07981-11070 | | (Address)<br>10/08/2003 | (City) | | (State)<br>100 | (Zip Cade) | | (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 of an independent public | | | | | accountant must be supported by a statement of facts an Ircumstances relied on as the basis of the exemption. See 1/ 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 re…Read the full text as markdown