Full text of ANZ SECURITIES, INC.'s X-17A-5 filed 2024-11-26 (period 2024-09-30). 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** | SEC FILE NUMBER | | |-----------------|--| | 8-47390 | | | 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 --------- | 10/Q 1 /2023 | AND ENDING 09/30/2024 | | | | | MM/DD/VY | | MM/DD/ Y Y | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: _A_N_Z_S_e_c_u_ | r_ite_i<br>_s_,_ln_c_. __________ _ | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!J Broker-dealer<br>0 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 | | | | 277 Park Avenue, Floor 31 | | | | | | | (No. and Street) | | | | | New York | NY | | 10172 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Alexander Karpukhin | 646-84 7-4520 | | ANZ.America.RegReporting@anz.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | PKF O'Connor Davies, LLP | | | | | | 245 Park Avenue | (Name - if individual, state last, first, and middle name)<br>New York | NY | 10167 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/29/2003 | | 127 | | | | te of Rog;,t,,tlon w;th PCAOB)Uf appncablo] | | | (PCAOB ,.,,w,tlon N"mbo,, ;f appi;cabl,] | | | r | 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 curr…Read the full text as markdown