Full text of SVB INVESTMENT SERVICES INC.'s X-17A-5 filed 2024-03-22 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------|-----------------|--------------------|--|--|--| | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17A-5 | | | | | | | | PART III | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023<br>MM/DD/YY<br>MM/DD/YY | | | | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION<br>NAME OF FIRM: SVB INVESTMENT SERVICES INC.<br>TYPE OF REGISTRANT (check all applicable boxes):<br>[ Major security-based swap participant<br>Broker-dealer - dealer - Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>505 HOWARD STREET<br>(No. and Street)<br>94105<br>CA<br>SAN FRANCISCO<br>(Zip Code)<br>(State)<br>(City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Sheila Williams | 704-577-4927 | | shwilliams@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<br>(Name - if individual, state last, first, and middle name)<br>11747<br>NY<br>Melville | | | | | | | | 10 Melville Park Rd | | (State) | (Zip Code) | | | | | (City)<br>(Address)<br>10/16/2003 | | 688 | | | | | | (PCAOB Registration Number, if applicable)<br>(Date of Registration with PCAOB)(if applicable)<br>FOR OFFICIAL USE ONLY<br>* Claims for exemption from the requirement that the annual reports…Read the full text as markdown