Full text of ZANBATO SECURITIES LLC's X-17A-5 filed 2020-12-14 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington. D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: October 31, 2023<br>Estimated average burden | |-----------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------|------------|------------------------------------------------------------------------------------------------| | | ANNUAL AUDITED REPORT<br>FORM X-17 A-5 | | hours per response 12.00<br>SEC FILE NUMBER<br>8-69654 | | | PART III<br>FACING PAGE | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | REPORT FOR THE PERIOD BEGINNING | -~l=0/~0"""'"l/-'-'19'----<br>MMIDDNY | AND ENDrNG | 09/30/20<br>MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | 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. | | | 711/715 N. Shoreline Blvd. | | | | | (No. and Street) | | | | Mountain View<br>(City) | CA<br>(State) | | 94043<br>(Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Gregory L. Wright | | | (201a 747-6223 | | | | | (Area Co e -<br>Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | | | | EisnerAmper LLP<br>(Name - if individual, state last, first, middle name) | | | | One California. Suite 1700 | San Francisco | CA | 94111 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>[!I Certified Public Accountant<br>D<br>Public Accountant<br>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 accounlant | | | | *must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)r2).SEC* 1410(3-91) {1}------------------------------------------------ Statement of Financial Condition Pursuant to Rule 17a-5 under the Securities Exchange…Read the full text as markdown