Full text of DV SECURITIES, LLC's X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **DV Securities, LLC** Statement of Financial Condition December 31, 2023 This report is deemed CONFIDENTIAL in accordance with Rule 17aͲ5(e)(3) under the Securities Exchange Act of 1934.A statement of financial condition has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC document. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill OMBAPPROVAL 0MB Number: 3235-0123 Expires: **Nov.** 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER **FACING PAGE** 8-70393 Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **01/01/23** MM/DD/YY AND ENDING **12/31 /23** MM/OO/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: DV SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 425 S FINANCIAL PLACE, SUITE 2800 | CHICAGO | IL | | 60605 | | | | | | |-------------------------------------------------------------------------------------|-----------------------------------------------------------------|---------------|------------------------------------------|--|--|--|--|--| | (City} | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Richard J. Horgan | 312-878-6785 | | rhorgan@dvsecurities.com | | | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | | | | | | | | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US | (Name- if Individual, state last, first, and middle name} | | | | | | | | | 30 S Wacker Drive, Suite 3300 Chicago | | IL | 60606 | | | | | | | (Address)<br>09/24/2003 | (City) | {State)<br>49 | (Zip Code) | | | | | | | l" | of Registratk>, with PCAOB )IW appl<ab~) FOR OFFICIAL USE ONL y | | {PCAOB Re~stratio, N,mbec, if appl<able) | | | | | | 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 informat…Read the full text as markdown