Full text of SVB INVESTMENT SERVICES INC.'s X-17A-5 filed 2023-04-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A Wholly Owned Subsidiary of Silicon Valley Bank, a division of First Citizens Bank) (SEC Identification No. 801-78209 and 8-70327) Financial Statements and Supplementary Information For the year ended December 31, 2022 (With Independent Auditors' Report Thereon) **(Confidential Treatment Requested)** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | SEC FILE NUMBER | | FACING PAGE | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------|--|--| | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING 0 1 /01 /2022 | | AND ENDING 12/31 /2022 | | | | | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: SVB INVESTMENT SERVICES INC. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 505 HOWARD STREET | | | | | | | | (No. and Street) | | | | | | SAN FRANCISCO | CA | | 94105 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Jonathan Fonseca | 602-423-1389 | | jfonseca@svb.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Marcum LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 10 Melville Park Rd | Melville | NY | 11747 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/16/2003 | 688 | | | | | | rte<br>of Reglstratloa with PCAOB)(O appOcable) | FOR OFFICIAL USE ONLY | | (PCAOB Regl,t,atioa N,mbe,, "'ppli<able)I | | | | * Claims for exemption from the requirement that the annual reports be…Read the full text as markdown