Full text of DZ FINANCIAL MARKETS LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2022 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-17A-5 PART** Ill | hours per response:<br>12 | |---------------------------| | SEC FILE NUMBER | | 8-51687 | | | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | 3_1_/2_0_2_2_ | | | | FILING FOR THE PERIOD BEGINNING _0_1_/_0_1_/2_0_2_2_AND ENDING _1_2_/_<br>MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM : DZ Financial Markets LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | □ 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 | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | 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 | | | | | | | IPCAOB Reg;,trat;o, N~b.,, ;f appUcabl•I I | | | | 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 circums…Read the full text as markdown