Full text of DV EQUITIES, LLC's X-17A-5 filed 2023-03-24 (period 2022-12-31). 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, 2022 Filed as PUBLIC in accordance with Rule 17aͲ5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------|---------------------------------------------------------------------------------------------|--| | | | | hours per response: 12 | | | | | | SEC FI LE NUMBER | | | | FORM X-17A-5 | | 8-70659 | | | | PART Ill | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING 01/01 /22 | | AND ENDING 12/31 /22 | | | | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: DV EQUITIES, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C!l 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.) | | | | | | 425 S FINANCIAL PLACE, SUITE 2800 | | | | | | | (No. and Street) | | | | | CHICAGO | IL | | 60605 | | | (City) | (State} | | (Zip Code} | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Richard J. Horgan | 312-878-6785 | | rhorgan@dv-equities.com | | | (Name) | (Area Code - Telephone Number} | | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | RSM US | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 30 S Wacker Drive, Suite 3300 Chicago | | IL | 60606 | | | (Address) | (City) | | (Zip Code}<br>(St ate} | | | 09/24/2003 | | 49 | | | | T"<br>of Registcatioo wi<h PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | I<br>(PCAOB Regls<catioo N ,mbec, if apPlicable) | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | accountant must be supporte…Read the full text as markdown