Full text of DVB CAPITAL MARKETS LLC's X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **DVB Capital Markets LLC** Statement of Financial Condition December 31, 2018 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ UNITEDSfATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |--------------------------|-----------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | Estimated average burden | | | hours<br>r res | nse 12.00 | ## ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll SEC FILE NUMBER a-67158 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | AND ENDING 12/31/2018<br>REPORT FOR THE PERIODBEGINNING01/01/2018 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------|---------|--------------------------------------------------|--| | | MMIDDIYY | | ~~~~~~~~~~-<br>MMIDDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: DVB Capital Markets LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>100 Park Ave, Suite 1301 | | | OFFICIAL USE ONLY<br>FIRM 1.0. NO. | | | | | | | | | | {No. and Stn:et) | | | | | New York | NY | | 10017 | | | (City} | (State} | | (Zip Code) | | | Mark s. Johnson, CEO and President | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION | | (212) 85&-2624<br>(Area Code - Telephone Number) | | | RSM US LLP | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | (Name - I/Individual, state last, first, middle name) | | | | | | 4 Times Square, 151 West 42nd St, 19th FL New York | NY | 10036 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>I./ I<br>Certified Public Accountant<br>B<br>Public Accountant | Accountant not resident in United States or any of its possessions.<br>FOR OPPICIAL USE ONLY | | | | | | | | | | | | | | | | *• claims for exemption from the requirement that the amrua/ report be covered* by *the opinion of an independenJ public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > Potentl•I pers…Read the full text as markdown