Full text of ZANBATO SECURITIES LLC's X-17A-5 filed 2023-11-28 (period 2023-09-30). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response . . . 12.00 ### **ANNUAL AUDITED REPORT** SEC FILE NUMBER **FORM X-17A-5** 8-69654 **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 | 10/01/22 | AND ENDING | 09/30/23 | | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|-----------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER - DEALER: | | | | | | Zanbato<br>Securities LLC | | | OFFICIAL USE ONLY<br>__________________ | | | | | | FIRM ID. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 711/715 N. Shoreline Blvd | | | | | | (No. and Street) | | | | | Mountain View | CA | | 94043 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Gregory L. Wright | | | (201) 747-6223 | | | | | | (Area Code - Telephone No.) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | EisnerAmper LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | | One California, Suite 1700 | San Francisco | CA | 94111 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | X<br>Certified Public Accountant | | | | | | | | | | | | Public Accountant | | | | | | 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).*SEC 1410 (3-91) {1}------------------------------------------------  | Signature: | | |---------------|--| | Title:<br>CEO | | - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ **Statement of Financial Condition Pursuant t…Read the full text as markdown