Full text of ZANBATO SECURITIES LLC's X-17A-5 filed 2024-12-10 (period 2024-09-30). 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 ANNUAL REPORTS FORM X-17A-5 PART III** OMB APPROVAL OMB Number: ဨ Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER ဨ 69654 ### FACING PAGE **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** **AND** ### **FILING FOR THE PERIOD BEGINNING 10/01/23** # **ENDING 09/30/24** | | | A.<br>REGISTRANT IDENTIFICATION | | | | |-----------------------------------------------|--------------------------------------------------|------------------------------------------------------|-------------------|--------------------------------------------|--| | NAME<br>OF<br>Zanbato Securities LLC<br>FIRM: | | | | | | | | | | | | | | TYPE<br>OF | REGISTRANT<br>(check | all<br>applicable<br>boxes): | | | | | ܆<br>Broker-dealer | տ<br>Security-based | swap<br>dealer<br>տ<br>Major | security-based | swap<br>participant | | | տ<br>Check<br>here | if<br>respondent<br>is<br>also | an<br>OTC<br>derivatives<br>dealer | | | | | ADDRESS<br>OF | PRINCIPAL<br>PLACE | OF<br>BUSINESS:<br>(Do<br>not | use a P.O.<br>box | no.) | | | | 711/715 N. Shoreline Blvd. | | | | | | | | (No. and Street) | | | | | Mountain View | | CA | | 94043 | | | (City) | | (State) | | (Zip code) | | | PERSON | TO | CONTACT WITH REGARD TO THS | FILING | | | | Gregory L. Wright | | (201)<br>747-6223 | | | | | (Name) | | (Area Code – Telephone Number) | | (Email Address) | | | | | B.ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT | whose<br>reports are | contained<br>in | this<br>filing* | | | | | EisnerAmper LLP | | | | | | | (Name-if individual, state last, first, middle name) | | | | | One California, Suite 1700 | | San Francisco<br>CA | 94111 | | | | (Address) | | (City) | (State) | (Zip Code) | | | September 29, 2003 | | 274 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | <sup>\*</sup> 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 circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. {1}------------------------------------------------ #### OATH OR AFFIRMATION I. Knut Nicolai Sand, swear (or affirm) that, to the best of my knowledge and bel…Read the full text as markdown