Full text of BERENBERG CAPITAL MARKETS LLC's X-17A-5 filed 2022-03-02 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **BERENBERG CAPITAL MARKETS LLC (SEC I.D. No. 8‐68821)** STATEMENT OF FINANCIAL CONDITION FOR THE YEAR ENDED DECEMBER 31, 2021, AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a‐5(e)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {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 # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-68821 **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 _________________ AND | 01/01/21<br>MM/DD/YY | ENDING | | 12/31/21<br>________________________<br>MM/DD/YY | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------|---------------------------------------|--------------------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | | | Berenberg Capital Markets LLC | | | | | | NAME OF FIRM: _______________________________________________________________________ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☐<br>X<br>☐<br>Broker-dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ☐ | Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | _____________________________________________________________________________________ | 1251 Avenue of the Americas, 53rd Floor | | | | | | | (No. and Street) | | | | | | New York<br>_____________________________________________________________________________________ | | New York | | 10020 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Peter Nichols | 646-949-9000 | Peter.Nichols@berenberg-us.com<br>__________________________________________________________…Read the full text as markdown