Full text of CAPITAL DYNAMICS BROKER DEALER LLC's X-17A-5 filed 2024-03-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ 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<br>REPORTS | | |-------------------|---------| | FORM<br>X-17A-5 | 8-68071 | | PART<br>Ill | | | SEC FILE NUMBER | |-----------------| | | FACING PAGE Information Required Pursuant t o Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act o f 1934 FILING FOR THE PERIOD BEGINNING 01/01/23 AND ENDING 12/31/23 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION name or rir: CAPITAL DYNAMICS BROKER DEALER LLC TYPE OF REGISTRANT (check all applicable boxes): f=} Broker-dealer C) Security-based swap dealer L ] Major security-based swap participant CO) Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 444 Madison Avenue | (No. and Street) | | | | | | | |-----------------------------------------------------------------|----------------------------------------------------------------------------------------|-----------------|------------|--|--|--| | New<br>York | N Y | | 10022 | | | | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Monique<br>Romero<br>212-668-8700<br>?<br>mromero@acisecure.com | | | | | | | | (Name) | (Area Code ? Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | Mazars<br>USA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LLP | | | | | | | 135<br>West<br>50th | (Name- i f<br>individual, state last, first, and middle name)<br>Street<br>New<br>York | N Y | 10020 | | | | | (Address)<br>/ 2<br>0<br>0<br>3 | (City) | (State) | (Zip Code) | | | | | (Name- i f<br>135<br>West<br>50th | individual, state last, first, and middle name)<br>Street<br>New<br>York | N Y | 10020 | |--------------------------------------------------|--------------------------------------------------------------------------|---------|--------------------------------------------| | (Address)<br>/ 2<br>0<br>0<br>3 | (City) | (State) | (Zip Code) | | (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 o f an independent public accountant must be supported by a statement o f facts and circum…Read the full text as markdown