Full text of INVESTEC SECURITIES (US) LLC's X-17A-5 filed 2023-06-13 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### S TATEMENT OF F INANCIAL C ONDITION Investec Securities (US) LLC March 31, 2023 With Report of Independent Registered Public Accounting Firm *(SEC I.D. No. 8-67162)* {1}------------------------------------------------ # Investec Securities (US) LLC ## Statement of Financial Condition March 31, 2023 ### Contents | Facing page and oath or affirmation | | |-----------------------------------------------------------|--| | Report of Independent Registered Public Accounting Firm 1 | | | Statement of Financial Condition 2 | | | Notes to Financial Statements 3 | | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67162 # ANNUAL REPORTS FORM X-17A-5 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 04/01/2022 MM/DD/YY \_\_\_ AND ENDING 03/31/2023 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Investec Securities (US) LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer \_ \_ \_ Security-based swap dealer \_ \_ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 10 East 53rd Street, 22nd Floor | | (No. and Street) | | | | |--------------------------------------------------|---------------------------------------------------------------------------|--------------------------------------------|--------------------------|--| | New York | New York | | 10022 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Steve Narov | 212 259 5617 | | steve.narov@investec.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Ernst & Young LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1 Manhattan West | New York | NY | 10001 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2023 | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* Claims for exem…Read the full text as markdown