Full text of BERENBERG CAPITAL MARKETS LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Berenberg Capital Markets LLC Statement of Financial Condition December 31, 2019 FILED PURSUANT TO RULE 17A-5(e)(3) AS A PUBLIC DOCUMENT {1}------------------------------------------------ ## **Berenberg Capital Markets LLC** Contents | Facing<br>page<br>to<br>Form<br>X‐17A‐5…………………………………………………………………………………………………3A | | |--------------------------------------------------------------------------------------------------------|--| | Affirmation<br>of<br>Officer………………………………………………………………………………………………………………3B | | | Independent<br>Auditors'<br>Report…………………………………………………………………………………………………4 | | | Statement<br>of<br>Financial<br>Condition<br>as<br>of<br>December<br>31,<br>2019………………………………………………………5 | | | Notes<br>to<br>Financial<br>Statements………………………………………………………………………………………………6‐17 | | {2}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . . . . . 12.00 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-68821 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Sccuritics Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/19 | AND ENDING | 12/31/19 | |-------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------------| | | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | | | | | | | NAME OF BROKER-DEALER: BERENBERG CAPITAL MARKETS LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 1251 Avenue of the Americas, 53rd Floor | | | | | (No, and Street) | | | | New York | New York | | 10020 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Lars Schwartau | | 646-949-9000 | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | BDO USA, LLP | | | | | (Name - if individual, state last, first, middle name) | | | | 100 Park Avenue | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Pu…Read the full text as markdown