Full text of NUVAMA FINANCIAL SERVICES INC.'s X-17A-5 filed 2023-07-25 (period 2023-03-31). 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 | ### **ANNUAL REPORTS FORM X-17A-5 PART** Ill ### **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | flllNG FOR THE PERIOD BEGINNING _0_4_/_0_1_/_2_2 | | __<br>AND ENDING | __<br>__<br>0_3_/_3_1_/2_3 | |--------------------------------------------------|------------------------------|------------------|----------------------------| | | MM/00/YY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | ### NAME oF FIRM: Nuvama Financial Services Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ### 450 Lexington Ave., Wework-4th Floor | | (No. and Street) | | | |----------|------------------|------------|--| | New York | NY | 10017 | | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | (Name) | (Area Code -Telephone Number) | (Email Address) | | |---------------------------------------------------------------------------|-----------------------------------------------------------|-------------------------------------------|------------| | | B, ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | Goldman & Company, CPAs P.C. | | | | | | {Name- if Individual, state last, first, and middle name) | | | | 3535 Roswell Rd., Ste 32 | Marietta | GA | 30062 | | (Address) | (Oty) | fState) | (Zip Code) | | (Date of Re lstration with PCAO8)(if a licable | | PCAOB Re istration Number, if ap llcable) | | | | FOR OFFICIAL USE ONLY | | | • dalms 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){il), if applicable. Persons who are to respond to the collectlon 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** | | OATH OR AFFIRMATION | | | | | |-------------------------…Read the full text as markdown