Full text of PZENA FINANCIAL SERVICES, LLC's X-17A-5 filed 2026-03-02 (period 2025-12-31). 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 Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-69390 0MB APPROVAL **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD **BEGINNING 0 1/01 /25** AND ENDING **12/31 /25** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAMEOFFIRM: PZENA FINANCIAL SERVICES, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dea ler □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 320 Park Avenue, 8th Floor | | {No. and Street) | | | | |----------------------------------------------|------------------------------------------------------------|-----------------|-----------------|--| | New York | NY | | 10022 | | | {City) | (State) | | {Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Jessica Doran | (212) 583-1304 | | doran@pzena.com | | | {Name) | {Area Code - Telephone Number) | {Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Grassi & Co., CPAs, P.C. | (Name - if individual, state last, first, and middle name) | | | | | 360 Madison Avenue | New York | NY | 10017 | | | {Address) | {City) | {State) | {Zip Code) | | | 10/22/2003 | | 606 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \* 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 affirm) that, to the best of my knowledge and bel | ief, the | |--------------------------------------------------------------------------|-------------------------------------------------------------|----------| | financial report pertaining to the firm of Pzena Financial Services, LLC |…Read the full text as markdown