Full text of FM (USA), LLC's X-17A-5 filed 2023-04-18 (period 2022-12-31). 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** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-701 89 **FACING PAGE** Informat ion **Required Pu rsuant to** Rules **17a-S, 17a-12, and 18a-7 under the Securities Exchange Act** of **1934** 1/1/2022 12/31/2022 FILING FOR THE PERIOD BEGINNING \_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_ \_ \_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : FM (USA), LLC -------- - - --- - - - ------ - ---------- TYPE OF REGISTRANT (check all applicable boxes) : <sup>~</sup>Broker-dealer D Security-based swap dea ler D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 80 Eighth Avenue, Suite 1603 New York (City) (No. and Street) NY (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10011 (Zip Code) Lawrence Peccatiello 413-384-9862 tony@fm-bd.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in t his filing\* Marcum LLP 10 Melville Park Rd, (Address) 10/16/2003 (Name - if individual, state last, first, and middle name) Melville (City) 688 NY (State) 11747 (Zip Code) rte of Regimahoo with PCAOB)lif applicable) **FOR a FFICIAL USE a NL y** (PO.OB Regi,tcatioo N,mbec, if applicable) I • Claims for exemption from the requ irement that the annual re ports 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)(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** I, Lawrence Pecciatiello swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of FM (USA), LLC • as of December 31 • 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…Read the full text as markdown