Full text of BERENBERG CAPITAL MARKETS LLC's X-17A-5 filed 2023-03-16 (period 2022-12-31). 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, 2022, 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}------------------------------------------------ {2}------------------------------------------------ | Ne, Lars Schwartau and Zachary Brantly<br>------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | swear (or affirm) that, to the best of our knowledge and belief, the | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------| | inancial report pertaining to the firm of Berenberg Capital Markets LLC<br>12/31 | . as ot<br>, 2 022 , is true and correct. We further swear (or affirm) that neither the company nor | | | | | any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified<br>solely as that of a customer. | | | | | | MaryAnn Luczak | Signature: | | NOTARY PUBLIC, STATE OF NEW YORK<br>Registration No. 01LU6425223 | | | Qualified in Nassau County | Title: | | Cammission Expires November 15, 2025 | Head of US Trading | | | Signature: | | Notary Public | | | 14. do = | Title: | | This filing** contains (check all applicable boxes): | Head of US Investment Banking | | (a) Statement of financial condition. | | | = (b) Notes to consolidated statement of financial condition. | | | □ (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of | | | comprehensive income (as defined in § 210.1-02 of Regulation S-X). | | | _ (d) Statement of cash flows. | | | □ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. | | | ال (f) Statement of changes in liabilities subordinated to claims of creditors. | | | [ {g) Notes to consolidated financial statements. | | | □ (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. | | | □ (i) Computation of tangible net worth un…Read the full text as markdown