Full text of N.A. INVESTCORP LLC's X-17A-5 filed 2023-08-29 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### S T A T E M E N T O F F I N A N C I A L C O N D I T I O N N.A. Investcorp LLC Year Ended June 30, 2023 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-66812 PART III 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 07/01/2022 AND ENDING 06/30/2023 MM,'DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: N.A. Investcorp LLC TYPE OF REGISTRANT (check all applicable boxes): © Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 280 Park Avenue 36th Floor (No. and Street) New York NY 10017 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Sami Qasimi 212-703-1196 sqasimi@investcorp.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst & Young - Middle East (Name - if individual, state last, first, and middle name) P.O. Box 140 10th Floor, East Tower Bahrain World Trade Center Manama Bahrain (City) (Address) (State) (Zip Code) April 6, 2021 6766 (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 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 who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | | | Sami Qasimi<br>swear (or affirm) that, to the best of my knowledge and belief, the | | | |----------------------------|--------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------…Read the full text as markdown