Full text of SABADELL SECURITIES USA, INC.'s X-17A-5 filed 2024-02-21 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Sabadell Securities USA, Inc.** **Financial Statements and Supplemental Schedules Pursuant to Rule 17a-5 of the Securities and Exchange Commission December 31, 2023** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-67975 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 12/31/23 01/01/23 FILING FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION SABADELL SECURITIES USA, INC. NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): 10 Broker-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.) 1111 BRICKELL AVENUE, 30TH FLOOR (No. and Street) MIAMI FLORIDA 33131 (State) (Zip Code) (Citv) PERSON TO CONTACT WITH REGARD TO THIS FILING 561-784-8922 SSINGER@SABSECURITIES.COM STEVEN SINGER (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* KPMG, LLP (Name - if individual, state last, first, and middle name) 78 SW 7TH STREET MIAMI FLORIDA 33130 (Address) (City) (State) (Zip Code) 10/20/2003 185 (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 #### I. VIRGINIA LABISTE , swear (or affirm) that, to the best of my knowledge and belief, the | | financial report pertaining to the firm of SABADELL SECURITIES USA, INC. | | |-------------|--------------------------------------------------------------------------|---------------------------------------------------------------------------------------------| | DECEMBER 31 | | . 2 033 . is true and correct. I further swear (or affirm) that neither the company nor any | | | | | partner, officer,…Read the full text as markdown