Full text of VALLEY FINANCIAL MANAGEMENT, INC.'s X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### S TATEMENT OF FINANCIAL CONDITION Valley Financial Management Inc. (A Wholly Owned Subsidiary of Valley National Bank) Year Ended December 31, 2022 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ### **ANNUAL REPORTSFORM X-17A-5 PART III** FACING PAGE OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 OMB APPROVAL SEC FILE NUMBER 8-52993 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING 12/31/2022 #### **A.** REGISTRANT IDENTIFICATION NAME OF FIRM: Valley Financial Management Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer ☐Security-based swap dealer ☐Major security-based swap participant ܆ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 350 Madison Avenue, 4th Floor | | | | | | |-------------------------------|----------------------------------------------|-----------------------|--|--|--| | (No. and Street) | | | | | | | New York | NY | 10017 | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Joel Vanovitch | (917)542-2241 | jvanovitch@valley.com | | | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | {2}------------------------------------------------ ### **B.** ACCOUNTANT IDENTIFICATION #### INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* #### **CohnReznick LLP** (Name – if individual, state last, first, and middle name) | 1301 Avenue of the Americas, 7th Floor | New York | NY | 10019 | | |--------------------------------------------------|----------|--------------------------------|------------|--| | (Address) | (City) | (State) | (Zip Code) | | | 10/14/2003 | | | #596 | | | (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 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-5(e)(1)(ii), if applicable.* **Persons…Read the full text as markdown