Full text of DBS VICKERS SECURITIES (USA) INC.'s X-17A-5 filed 2026-03-30 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS | | | OMB APPROVAL | | |-----------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|---------------------------------------------------------------------------------------------------------------------------|--| | | | | OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average bur den<br>hours per response: 12<br>SEC FILE NUMBER | | | | | | | | | | FORM X-17A-5 | | 8-53640 | | | PART III | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | 01/01/25 | AND ENDING | 12/31/25 | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: DBS VICKERS SECURITIES (USA) INC | | | | | | 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.) | | | | | | | | | | | | 77 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. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling " | | | | | | 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 | | | | (Date of Registration with PCAO B)(if applicable) | FOR OFFICIAL USE ONLY | | PCAOB Registration Number, if applicable) | | . 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 required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, ELAINE YU swear (or affirm) that, to the best of my knowledge and belief, the financial report perfaining to the firm of DBS VICKERS SECURITIES |USAJ NC s of 12/31 2 025 is true and…Read the full text as markdown