Full text of DASTA FINANCIAL, LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES | |----------------------------------| | SECURmES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | O'-4B APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | hours per response: 12 | | |------------------------|--| | SEC FILE NUMBER | | | 8-70841 | | | | | **FACING PAGE** lnfonnation **Required** Pursuant to Rules 17a-5, **17a-12, and 18a-7 under the** Securities **Exchange Act of** 1934 | FILING FOR THE PERIOD BEGINNING O 1/01/2023 | | 1213112023<br>AND ENDING | |-------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------------------------| | | MM/DD/YY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | NAME oF FIRM: DAST A Financial, 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.) | | | | 101 Greenwich, Second Floor, Suite 402 | | | | (No. and Street) | | | New York | NY | 10006 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Kimberly Ryan | 248-224-8713 | kryan@complianc | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | 180 Park Avenue | (Name-if individual, state last, first, and middle name)<br>Florham Park | NJ | 07932 | |---------------------------------------------------|--------------------------------------------------------------------------|-------------------------------------------|------------| | (Address) | (City) | (State) | (Zip Code) | | 11-02-2005 | | 2468 | | | (Date of Rel!lsttalfon with PCA0B)(lf aoollcablel | | IPCA0B ReRlstratlon Number, If aoolicable | | | | FOR OFFICIAL USE ONLY | | | • Oaims for exemption from the requirement that the annual reports be covered by the reports of an independent public accoununt must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 2.40.17a-5(e)(l)(ii), if appllcable. Persons who are to respond to the collection of Information contained In this form are not required to respond unle…Read the full text as markdown