Full text of MATTHEWS SOUTH, LLC's X-17A-5 filed 2022-12-28 (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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-69751 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 09/30/22 FILING FOR THE PERIOD BEGINNING 10/01/21 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Matthews South, LLC TYPE OF REGISTRANT (check all applicable boxes): [ Security-based swap dealer | Major security-based swap participant Broker-dealer C Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1700 South El Camino Real, Suite 345 (No. and Street) San Mateo CA 94402 (State) (City) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Susan Hayes (609) 642-6593 shayes@matthewssouth.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Moss Adams LLP (Name - if individual, state last, first, and middle name) 75254 14555 Dallas Parkway, Suite 300 Dallas TX (Address) (State) (City) (Zip Code) 10/16/03 659 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I. Kevin Castellano swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Matthews South, LLC as of 9/30 2 022\_\_\_\_ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. Dec 28,2022 NOTARY PUBLIC LOOSE CERTIFICATE ATTACHEN Signature: Title: Chief Financial Officer & Chief…Read the full text as markdown