Full text of RMB SECURITIES (USA) INC.'s X-17A-5 filed 2025-08-12 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # RMB Securities (USA) Inc. (A wholly owned subsidiary of FirstRand Securities Limited) Audited Statement of Financial Condition June 30, 2025 {1}------------------------------------------------ | | Page | |---------------------------------------------------------------------------------------------|-----------| | FACING PAGE | 1 | | OATH OR AFFIRMATION | 2 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 3 | | FINANCIAL STATEMENT<br>Statement of Financial Condition<br>Notes to the Financial Statement | 4<br>5-10 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235‐0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS** ## **FORM X‐17A‐5 PART III** SEC FILE NUMBER **8-70765** **FACING PAGE** #### **Information Required Pursuant to Rules 17a‐5, 17a‐12, and 18a‐7 under the Securities Exchange Act of 1934** | REPORT<br>FOR<br>THE<br>PERIOD<br>BEGINNING | 07/01/2024 | | AND<br>ENDING | 06/30/2025 | |------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------------|---------------------------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A.<br>REGISTRANT | IDENTIFICATION | | | | NAME<br>OF<br>FIRM: RMB<br>Securities<br>(USA) | Inc. | | | | | TYPE<br>OF<br>REGISTRANT<br>(check<br>all | applicable<br>boxes): | | | | | ☒Broker‐dealer<br>☐Security‐based | swap dealer | ☐Major | security‐based swap participant | | | ☐ Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS<br>OF<br>PRINCIPAL<br>PLACE<br>OF | BUSINESS:<br>(Do<br>not<br>use | P.O.<br>Box<br>No.) | | | | 75<br>Rockefeller<br>Plaza,<br>Suite<br>23A | | | | | | | | (No. and Street) | | | | New<br>York | | NY | | 10019 | | (City) | | (State) | | (Zip Code) | | PERSON<br>TO<br>CONTACT<br>WITH<br>REGARD | TO<br>THIS<br>FILING | | | | | Phyllis<br>Chin 212‐751‐4422 Phyllis.Chin@rmbsecurities.com | | | | | | (Name) | (Area Code – Telephone Number) | | | (Email Address) | | | B.<br>ACCOUNTANT | IDENTIFICATION | | | | INDEPENDENT<br>PUBLIC<br>ACCOUNTANT | whose<br>opinion<br>is | contained<br>in<br>this | filing* | | | Rayfield<br>&<br>Licata,<br>PC | | | | | | | (Name…Read the full text as markdown