Full text of CVC FUNDING, LLC's X-17A-5 filed 2021-02-12 (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 | | 8 - 69650 | | |---------------------------|-----------------------|--| | | SEC FILE NUMBER | | | hours per response 12.00 | | | | Estimated average burden | | | | Expires: October 31, 2023 | | | | | OMB Number: 3235-0123 | | | OMB APPROVAL | | | ### ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | AND ENDING | 12/31/2020 | |------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------|------------------------------| | | MM/DD/YYYYY | | MM/DD/YYYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | CVC FUNDING LLC | OFFICIAL USE ONLY<br>FIRM ID. NO. | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 712 FIFTH AVE,45TH FL | | | | | (No. and Street) | | | | NEW YORK | NY | | 10019 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | (Area Code -- Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | MAZARS USA LLP | | | | | | (Name -- if individual, state last, first, middle name ) | | | | 135 West 50th Street | New York | NY | 10020 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>[x] Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions | FOR OFFICIAL USE ONLY | | | | | | | | \*Claims for exemption from 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 OMB control number. SEC 1410 (06-02) {1}------------------------------------------------ #### OATH OR AFFIRMATION | Robert Squire | swear (or affirm) that, to the | |-------------------------------------------------…Read the full text as markdown