Full text of NUVAMA FINANCIAL SERVICES INC.'s X-17A-5 filed 2024-07-17 (period 2024-03-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART** Ill | hours per response: 12 | | |------------------------|--| | | | | SEC FILE NUMBER | | | 69508 | | **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 | __<br>__<br>0_4_/0_1 /_2_3<br>AND ENDING | | __<br>__<br>0_3_/_3_1_/2_4 | | |---------------------------------|------------------------------------------|--|----------------------------|--| | | MM/00/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Nuvama Financial Services Inc. TYPE OF REGISTRANT {check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant 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) | |--|--------| |--|--------| (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) | (City) | (State) | (Zip Code) | | 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, Ranganathan Purushothaman swear (or…Read the full text as markdown