Full text of WESTPAC CAPITAL MARKETS LLC's X-17A-5 filed 2025-11-21 (period 2025-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Westpac Capital Markets LLC** Statement of Financial Condition September 30, 2025 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235 0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-69113 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 10/01/2024 | | AND ENDING 09/30/2025 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------------------------------|-----------------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Westpac Capital Markets LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | Broker-dealer | | [ Security-based swap dealer Major security-based swap participant | | | | Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 390 Park Avenue, 14th Floor | | | | | | | (No. and Street) | | | | | New York | | NY | | 10022 | | (City) | (State) | | (Zip Code) | | | | | | | | | | (212) 751-4422 | | | mglynn@dtppartners.com | | | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | Two Manhattan West, 9th Avenue | New York | | NY | 10001 | | | (City) | | (State) | (Zip Code) | | | | 185 | | | | | | | | (PCAOB Registration Number, if applicable) | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Michael Glynn<br>(Name)<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing"<br>(Address)<br>10/20/2003<br>(Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | | countant must be supported by a statement of t 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…Read the full text as markdown