Full text of RABO SECURITIES USA, INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHIANGE COMMISSION Washington, D.C. 20549** | ANNUAL HEPORTS | |----------------| | FORM x:-17A-5 | | PART Ill | OMBAPPROVAL 0MB Number 3235-0123 Expires Oct 31, 2023 Estimated average burden hours per response 12 | SEC FILE NUMBER | |-----------------| | 8-65525 | **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>2 _____ ~AND ~NDING _<br>0<br>0<br>2<br>1<br>2<br>1<br>2<br>11_<br>11_<br>13_<br>12_<br>_<br>_<br>_<br>_<br>_<br>_<br>_ | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------|---------|-----------------------------------------|--|--| | MM/DD/VY | | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM · Rabo Securities USA, Inc | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here ,f respondent Is also an OTC derivatives dealer | □ Security-based swap dealer | | □ MaJor security-based swap partIcIpant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS· (Do not use a P.O. box no.) | | | | | | | 245 Park Avenue, 36th Floor | | | | | | | | (No and Street) | | | | | | New York | New York | | 10167 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Andrea Martens | (212)-916-3706<br>andrea.martens@rabobank.com | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IIDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained m this filing*<br>PncewaterhouseCoopers LLP | | | | | | | | (Name - ,f ind1v1dual, state last, first, and middle name) | | | | | | 214 N. Tryon St. Suite 4200 | Charlotte | NC | 28202 | | | | (Address) | (City) | (State) | (Zip Code) | | | | October 20, 2003 | | 238 | | | | | l"<br>(PCAOB Reg,str.,t,oa N,mbec, ,f apphcable)I<br>of Reg,st,at,oa w,th PCAOB)C,f apphcable)<br>FOR OFFICIAL USE ONL V | | | | | | \* 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. S…Read the full text as markdown