Full text of ZANBATO SECURITIES LLC's X-17A-5 filed 2022-11-22 (period 2022-09-30). 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: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | | | |-----------------|--|--|--| ## 8-69654 **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |-----------------------------------------------------------------------------------------------------------|--|--| |-----------------------------------------------------------------------------------------------------------|--|--| | FILING FOR THE PERIOD BEGINNING 10/01 f21 | --------- | | AND ENDING 09f30f22 | ---------- | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|-----|---------------------|------------------|--| | | MM/DD/ Y Y | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Zanbato Securities LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>D Major security-based swap participant<br>C!J Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 711/715 North Shoreline Blvd. | | | | | | | | (No. and Street) | | | | | | Mountain View | CA | | | 94043 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Gregory L. Wright | (201 )747-6223 | | | greg@zanbato.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | EisnerAmper LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | One California, Suite 1700 | San Francisco | | CA | 94111 | | | (Address) | (City) | | (State) | (Zip Code) | | | September 29, 2003 | | 274 | | | | | | | | | | | | | 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 circumstanc…Read the full text as markdown