Full text of PZENA FINANCIAL SERVICES, LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-69390 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill **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 **01/01/23** AND ENDING **12/31 /23** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAMEOFFIRM: PZENA FINANCIAL SERVICES, LLC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 320 Park Avenue, 8th Floor | NY | | 10022 | |--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | (State) | | (Zip Code) | | | | | | (212) 583-1304 | doran@pzena.com | | | (Area Code - Telephone Number) | | | | | | | | | | | | | NY | 10017 | | (City) | (State) | (Zip Code) | | | 606 | | | | | (PCAOB Reg;mafoo N,mbec, ;fappUcable)I | | FOR OFFICIAL USE ONLY | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Grassi & Co., CPAs, P.C.<br>750 Third Avenue, 28th Floor New York<br>rte of Reg;stcaUoo w;th PCAOB)l;f appUcable) | (Email Address)<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>(Name - if individual, state last, first, and middle name) | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **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.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | I, Jessica Doran | swear (or a…Read the full text as markdown