Full text of DALZELL TRADING, LLC's X-17A-5 filed 2024-08-08 (period 2024-06-30). 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: # ANNUAL REPORTS FORM X-17A-5 PART II SEC FILE NUMBER 8-69938 FILING FOR THE PERIOD BEGINNING NAME OF FIRM: D Broker-dealer Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 STATE COLLEGE (Name) TYPE OF REGISTRANT (check all applicable boxes): FACING PAGE 07/01/23 D Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer (City) DALZELL TRADING, LLC (Address) MM/DD/YY 10/08/2003 A. REGISTRANT IDENTIFICATION ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.0. bOx no.) 250 E. BEAVER AVE., SUITE 772 PERSON TO CONTACT WITH REGARD TO THIS FILING (No. and Street) MONIQUE ROMERO (212) 668-8700 (Date of Registration with PCAOB)(if applicable) PA (State) D Major security-based swap participant (Area Code - Telephone Number) 06/30/24 B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WITHUM SMITH & BROWN, PC 1411 BROADWAY, 9TH FL NEW YORK (City) (Name -if individual, state last, first, and middle name) FOR OFFICIAL USE ONLY (Email Address) 100 NY (State) mromero@acisecure.com MM/DD/Y 16801 (Zip Code) 10018 (Zip Code) (PCAOB Registration Number, if applicable) AND ENDING \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption, See 17 CFR 240.17a-5(e)(1)(ü), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION | L DAVID DALZELL | swear (or affirm) that, to the best of | | my knowledge and belief, the | | | |-----------------|----------------------------------------|--|------------------------------|--|--| | | | | | | | | financial report pertaining to the firm of DALZELL TRADING, LLC | | | |-----------------------------------------------------------------|-------|--| | | as of | | | | | | 6/30 2 024, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent…Read the full text as markdown