Full text of DAIWA CORPORATE ADVISORY LLC's X-17A-5 filed 2020-06-04 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ DAIWA CORPORATE ADVISORY LLC (SEC I.D. No. 8-66273) STATEMENT OF FINANICAL CONDITION AS OF MARCH 31, 2020 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \*\*\*\* \*\*\* This report is filed pursuant to Rule 17a-S(e)(3) under The Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {1}------------------------------------------------ CONFIDENTIAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-01 23 Expires: August 31 , 2020 Estimated average burden hours per resoonse . ......... 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-66273 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the** **Securities Exchange Act** of **1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGTNNTNG | 4/1/2019<br>MM/DDNY | ANDENDTNG | 3/31/2020<br>MM/DDN Y | | | |------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|---------------------|---------------------------------------------------|--|--| | A. REGISTRANT IDENTIFlCATIO | | | | | | | DAIWA CORPORATE ADVISORY LLC<br>NAME OF BROKER-DEALER: | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRJNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>605 Third Ave, 11th Floor | | | FIRM I.D. NO. | | | | | (No. and street) | | | | | | New York | NY | | 10171 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | | | | | | Peter Pacitto | | | (212) 904-9488<br>(Area Code - Telephone N wnber) | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | B. ACCOUNTANT IDENTIFICATIO | | | | | | | | | | | | | KPMG LLP | | | | | | | | (Name - if individual, stare last, | firsr, middle name) | | | | | 345 Park Avenue | New York | NY | 10154 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE:<br>0<br>Certified Public Accountant<br>D Public Accountant<br>D Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | \* *Claims for exemption \_ft-om 1he requirement 1!tat 1he annual report be covered by the opinion of an independent public accounla/11 must be supported by a statement of facts and circumstances relied on as the…Read the full text as markdown