Full text of OPENDEAL BROKER LLC's X-17A-5 filed 2024-03-25 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition and Supplementary Information OpenDeal Broker LLC (a wholly owned subsidiary of OpenDeal Inc.) December 31, 2023 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES ANO EXCHANGE COMMISSION** Washington, D.C. **20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAi 0MB Number. 323S-0123 Exp res: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-70055 Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **01 /01 /23** MM/00/YY AND ENDING **12/31 /23** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: OpenDeal Broker LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer 0 Major security-based swap participant D Check here If respondent ls also an OTC derivatives deafer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 149 Fifth Avenue, 10th Floor (No. and Street) New York NY 10010 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Casey Sullivan 617 -365-4156 casey@thecapitalr.co (Name) (Area Code - Telephone Number) (Emall Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• EEPB Company (Name - If Individual, st.ate last, first, and middle name} 2950 North Loop West, Suite 1200 **Houston** TX 77092 (Address) (City) (State) (Zip Code) 11/05/03 879 (Date of Re lstratlon with PCAOB If a pflcable) PCAOB Re lstration Number If a licable **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 circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ll), If applicable. Persons who are to respond to the coUectlon of Information contained In this fonn are not required to respond unless the form displays a currently valid 0MB control number. {2}------------------------------------------------ ### OATH OR AFFIRMATION | Casey Sullivan | swear (or affirm) that, to the best of my knowledge and belief, the | |----------------------------------------------------------------|-----------------------------------------------------------------------------------…Read the full text as markdown