# D-MERC SERVICES LLC X-17A-5 (2023-03-06) — Broker-dealer annual report - Company: D-MERC SERVICES LLC - Form: X-17A-5 - Filed: 2023-03-06 - Period: 2022-12-31 - Accession: 0001728956-23-000004 - CIK: 1728956 - File #: 8-70072 - Type: Broker-dealer - Material weakness: No - Auditor: LMHS - Auditor location: Norwell, MA - Contact: Lori Sarian - Phone: 303.250.5923 - Email: lcs@d-mercservices.com - Website: d-mercservices.com - Signed by: Lori Sarian (Managing Partner) Original filing: https://www.sec.gov/Archives/edgar/data/1728956/000172895623000004/ARX17A5EXCTDREV-1.pdf --- {0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FI LE NUM BER 8-36594 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILI NG FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING \_\_ 12\_/\_3\_1 /\_2\_02\_2 \_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** | -
NAME oF FIRM : | -D~
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_ | | |---------------------|------------------------------------|----------------------------------------------|--------------|--------|--| TYP-E OF REGISTRANT (check all applicable boxes): ~ ~raker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | (No. and Street)
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PERSON TO CONTACT WITH REGARD TO THIS FILING | | 80226
(Zip Code) | |-----------------------------------------------------------------------------------|-------------------------------|------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | 303.250.5923 | lcs@d-mercservices.com | | | | (Email Add ress) | | | | | | | (Name - if individua l, state last, first, and middle name) | | | | | | | | Norwell | MA | | | (City) | (State) | 02061
(Zip Code) | | | 3373 | | | | (Area Code -Telephone Number) | B. ACCOUNTANT IDENTIFICATION
INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fil ing* | • 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.l ?a-S(e)(l)(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 0MB control number. {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | Lori C Sarian
I, | swear (or affirm) that, to the best of my knowledge and belief, the | | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------|--|--|--|--|--| | D-Merc Services LLC
financial report pertaining to the firm of
February 27 | . as of
, 2rn, 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. | | | | | | | | | | | | | | | | OLIVIA GUADALUPE MARTINEZ
NOTARY PUBLIC - STATE OF COLORADO
NOTARY ID 20194017304
MY COMMISSION EXPIRES MAY 7, 2023
Notary Public | ww::~
Signatu
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Title :
Managing Partner | | | | | | | This filing** contains {check all applicable boxes): | | | | | | | | rt
(a) Statement of financial condition. | | | | | | | | D
(bl Notes to consolidated statement of financial condition. | | | | | | | | rt
(c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of
comprehensive income (as defined in§ 210.1-02 of Regulation S-X). | | | | | | | | V. (d) Statement of cash flows. | | | | | | | | f/
(e) Statement of changes in stockholders' or partners' or sole proprietor' s equity. | | | | | | | | D
(f) Statement of changes in liabilities subordinated to claims of creditors. | | | | | | | | V
(g) Notes to consolidated financial statements. | | | | | | | | r/ (h) Computation of net capital under 17 | CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. | | | | | | | D
(i) Computation of tangible net worth under 17 CFR 240.18a-2. | | | | | | | | f7 U) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.1Sc3-3.
(k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.1Sc3-3 or | | | | | | | | D
Exhibit A to 17 CFR 240.18a-4, as applicable. | | | | | | | | D
(I) Computation for Determination of PAB Requirements under Exhibit A to§ 240.1Sc3-3. | | | | | | | | {/
(m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. | | | | | | | | D
(n) Information relating to possession or control requirements for security-based swap customers under 17 CFR
240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. | | | | | | | | D
(o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net
worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17
CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences | | | | | | | | exist.
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(p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. | | | | | | | | {/
(q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. | | | | | | | | D
(r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. | | | | | | | | v' (s) Exemption report in accordance with 17 | CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. | | | | | | | D
(t) Independent public accountant's report based on an examination of the statement of financial condition. | | | | | | | | fl (u) Independent public accountant's report based on an examination of the financial report or financia
CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. | l statements under 17 | | | | | | | D
(v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17
CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. | | | | | | | | r;/ (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17
CFR 240.18a-7, as applicable. | | | | | | | | {/
(x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-le or 17 CFR 240.17a-12,
as applicable. | | | | | | | | D
(y) Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or
a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k). | _____________________________________ | | | | | | | D
(z) Other:
**To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as
applicable. | _ | | | | | | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.