Full text of PZENA FINANCIAL SERVICES, LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0 MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 **8-69390** SEC FILE NUMBER # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities 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 MM/DD/YY ### **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: **PZENA FINANCIAL SERVICES, LLC** ADDRESS OF PRINCIPAL PLACE OF BUSINESS : (Do not use P.O. Box No.) 320 Park Avenue, 8th Floor New York (City) (No . and Street) NY (State) 10022 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Gary J. Bachman (212) 583-0225 (Area Code - Telephone Number) ### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* PricewaterhouseCoopers, LLP | (Name - if individual. state last. first. middle name) | | | | | |--------------------------------------------------------|----------|---------|------------|--| | 300 Madison A venue | New York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | ### **CHECK ONE:** **00** Certified Public Accountant □ Public Accountant □ Accountant not resident in United States or any of its possessions. ### **FOR OFFICIAL USE ONLY** *\*Claims f or exemption.from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of f acts and circumstances relied on as the basis f or the exemption. See Section 240.17a-5(e)(2)* > Potential persons who are to respond to the collection of information contained in this form are not requh-ed to r espond unless the form displays a currently valid 0 M B control number. OFFICL-\L USE ONLY **FIRM I.D. NO.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Gary J. Bachman, swear (or affirm) that, to the best ofmy knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Pzena Financial Services, LLC, as of December 31, 2019 are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified s…Read the full text as markdown