Full text of PZENA FINANCIAL SERVICES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2021 Estimated average burden hours per response ...... 12.00 **8-69390** SEC FILE NUMBER # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** ## **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17 a-5 Thereunder** REPORT FOR THE PERIOD BEGINNING 01/01/20 AND ENDING 12/31/20 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, 8 th 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 Jessica Doran (212) 583-1304 (Area Code - Telephone Number) ## **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report\* PricewaterhouseCoopers, LLP | <Name- if individual. state last. fh:st. middle name) | | | | | |-------------------------------------------------------|----------|---------|------------|--| | 300 Madison Avenue | New York | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | ## **CHECK ONE:** - IRl Certified Public Accountant - □ Public Accountant - □ Accountant not resident in United States or any of its possessions. ## **FOR OFFICIAL USE ONLY** *\*Claims for exemption J,-om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for 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 required to respond unless the form displays a currently valid 0MB control number.** OFFICIAL USE **ONLY** **FIRM I.D. NO.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Jessica Doran, 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, 2020 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 solel…Read the full text as markdown