Full text of DZ FINANCIAL MARKETS LLC's X-17A-5 filed 2022-03-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31 , 2021 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17 A-5** | | | | SEC FILE NUMBER | | |------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-----------------------------------------|--------------------------------|--| | | FORM X-17 A-5 | | | | | | PART Ill | | | | | | FACING PAGE | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING | ___<br>0_1_1_01_1_20_2_1 | __<br>AND ENDING | __<br>___<br>1_2_!3_1_12_0_2_1 | | | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | ______<br>NAME OF FIRM : | D_Z_F_in_a_n_c_ia_l _M_a_r_ke_t_s_L_L_C | ___<br>_ | _______<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | Qt Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) One Vanderbilt - 49th Floor | | (No. and Street) | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|----------------------------| | New York | NY | | 10017 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Gerhard Summerer | (212) 745-1600 | | Gerhard.Summerer@DZBank.de | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | RSM US LLP | (Name - if individual, state last, first, and middle name) | | | | 151 West 42nd Street | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | 09/24/2003 | | 49 | | | (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 be c…Read the full text as markdown