Full text of TOWERBROOK FINANCIAL, L.P.'s X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | | SEC FILE NUMBER | | |-----------------|--| | 8-68721 | | **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 Q **1** /Q **1 /23** MM/DD/VY AND ENDING 12/31 **/23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** ## NAME oF FIRM: TowerBrook Financial, L. P. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | Park Avenue Tower, 65 East 55th Street, 19th Floor | | | | | | | | |---------------------------------------------------------------------------------------------------------|--------------------------------|---------|------------------------------------------|--|--|--|--| | (No. and Street) | | | | | | | | | New York | NY | | 10022 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Jennifer Glassman | 212-699-2262 | | jennifer.glassman@towerbrook.com | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PricewaterhouseCoopers LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 300 Madison Avenue | New York | NY | 10017 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 10/20/2003 | | 238 | | | | | | | | | | (PCAOB R,g;stcafoa N,mbec, ;f applkable) | | | | | | | FOR OFFICIAL USE ONLY | | I | | | | | \* 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 exemption. See 17 CFR 240.17a-S(e)(l)(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 0MB control number.** {1}------------------------------------------------   - - - - - - - - - - -…Read the full text as markdown