Full text of DV EQUITIES, LLC's X-17A-5 filed 2024-03-18 (period 2023-12-31). 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, 2023 Filed as PUBLIC in accordance with Rule 17aͲ5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ **UNITED STATES SECURITIES ANO EXCHANGE COMMISSION Washington, O.C. 20549** # **ANNUAL REPORTS FORM X-17A-S** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER 8-70659 | | PART Ill | | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | | FACING PAGE<br>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 | AND ENDING 12/31 /23 | | | | | MM/DD/VY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: DV EQUITIES, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D 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 | | | | | | Richard J. Horgan | 312-878-6785 | | rhorgan@dvtrading.co | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | RSM US | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 30 S Wacker Drive, Suite 3300 Chicago | | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/24/2003 | | 49 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accou…Read the full text as markdown