Full text of DV EQUITIES, LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **DV Equities, LLC** Statement of Financial Condition December 31, 2021 Filed as PUBLIC in accordance with Rule 17aͲ5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ **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 8-70659 **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **0 1/01 /21 MM/00/YY** AND ENDING **12/31 /21** **MM/DO/VY** **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: DV EQUITIES, LLC lYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 216 W JACKSON BLVD 3RD FLOOR | | (No. and Street) | | | | |-----------------------------------------------|---------------------------------------------------------------------------|-----------------|-----------------------------------------|--| | CHICAGO | IL | | 60606 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Richard J. Horgan | 312-878-6785 | | rhorgan@dv-equities.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | RSM US | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | 30 S Wacker Drive, Suite 3300 Chicago | (Name - if individual, state last, first, and middle name) | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/24/2003 | | 49 | | | | (Date of Re istration with PCAOB if a licable | | | PCAOB Re istration Number, if a licable | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | \* 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 240.17a-S(e)(1)(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 va…Read the full text as markdown