Full text of ZANBATO SECURITIES LLC's X-17A-5 filed 2018-04-11 (period 2017-09-30). 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: August 31, 2020 Estimated average burden hours per response ... 12.00 ## I SEC FILE NUMBER I 8-69654 #### **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 | __<br>___<br>l_O/_O_l/_16<br>MM/DDNY | AND ENDING | 09/30/<br>17<br>MM/DDNY | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------| | | A. REGISTRANT lDENTl | FICA TION | | | NAME OF BROKER -<br>DEALER: | | | | | Zanbato Securities LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 711 N. Shoreline Blvd. | | | | Mountain View | (No. and Street)<br>CA | | 94043 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT TN REGARD TO THIS REPORT | | | | | Gregory L. Wright | | | (201) 747-6223 | | | | | (Area Code -<br>Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Eisner Am per LLP | | | | | (Name - if individual, state last, first, middle name) | | | | One Market Landmark, Suite 620 | San Francisco | CA | 94105 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | ~ Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D<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.* J *7a-5(e)(2).* SEC 1410 (3-91) {1}------------------------------------------------ Statement of Financial Condition Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 September 30, 2017 {2}------------------------------------------------ #### **This report\*\* contains (check all applicable boxes):** - [x] Independent Auditors' Report. - [x] Facing Page. - [x] Statement of Financial Condition. - [ ] Statement of Opera…Read the full text as markdown