Full text of DAVY SECURITIES's X-17A-5 filed 2022-03-15 (period 2021-12-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition As of December 30, 2021 (With Report of Independent Registered Public Accounting Finn) 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 | | | | ## ANNUAL REPORTS FORM X-17A-5 PARTIII | OM APP | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated ;iverqe burden | | | hours per response: 12 | | | SEC FILE NUMBER | | | | | | 8- | | #### **FACING PAGE** Information Required Pursuant to Rules 171-5, 17a•1Z, and 18a-7 under the Securities Exchange At;t of 1934 | FILING FOR THE PERIOD BEGINNING 1213112020 | ---------<br>----------<br>AND ENDING 12/20/2021 | | | | |---------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------|-----------------------------------------|---------------------------------|----------------------| | | MM/D0/YV | | | MM/0D/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Davy Securities Unlimited Company | | | | | | lYPE OF REGISTRANT (check all applicable boxes):<br>Iii Broker-dealer<br>D Check here if respondent Is also an OTC derivatives dealer | D Security-based swap dealer | 0 Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | Davy House, 49 Dawson Street, Dublin 2, Ireland | | | | | | | (No. and Street) | | | | | | | | | | | (Cltv> | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | John Hickey | +3536792816 | | | john .hickey@davy.ie | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained In this flllng•<br>FGMKLLC | | | | | | | | | | | | 333 W.Wacker Driver, 6th Floor | (Name - H lndivldual, state last, flrst, and middle name)<br>Chicago | | lllions | 60606 | | (Address) | (City) | | (State) | (Zip Code) | | 12117/2009 | | 3968 | | | | (Date of Re lstratlon with PCAOB)llf a | llcable) | | (PCAOB R lstratlon Number, if a | llcable | | | FOR OFFICIAL USE ONLY | | | | • Claims for exempti…Read the full text as markdown