Full text of EAST WEST MARKETS, LLC's X-17A-5 filed 2023-02-16 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **East West Markets, LLC** **Statement of Financial Condition December 31, 2022** {1}------------------------------------------------ # **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 **8-67858** **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 | MM/DD/YY | 01/01/2022 | | 12/31/2022<br>MM/DD/YY | | | | |--------------------------------------------------------------------------------|-----------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------------------|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: EAST WEST MARKETS, LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | ☒Broker-dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | ☐Security-based swap dealer<br>☐Major security-based swap participant | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | 5001 SPRING VALLEY ROAD, SUITE 825 W | | | | | | | | | | | (No. and Street) | | | | | | | DALLAS | | TX | | 75244 | | | | | (City) | | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | PHYLLIS CHIN | 212-751-4422 | | | Phyllis.chin@ewmarkets.com | | | | | (Name) | (Area Code – Telephone Number) | | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | MOSS ADAMS LLP | | | | | | | | | | | (Name – if individual, state last, first, middle name) | | | | | | | 14555 DALLAS PARKWAY | DALLAS | | TX | 75254 | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | | 10/16/2003 | | | | 659 | | | | | (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 be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exempt…Read the full text as markdown