National Financial Services LLC

02/20/2024 | Press release | Distributed by Public on 02/20/2024 16:27

Information Required of Brokers and Dealers - Form X-17A-5

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0000356628
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
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Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
01-01-2023
and Ending
12-31-2023
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
NATIONAL FINANCIAL SERVICES LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
245 SUMMER STREET
Address 2
MAIL ZONE L10C
City
BOSTON
State/Country
MASSACHUSETTS
Mailing Zip/ Portal Code
02210

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Michael Lyons
Telephone Number
201-915-7437

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
PricewaterhouseCoopers LLP
Address 1
300 Madison Avenue
City
New York
State/Country
NEW YORK
Mailing Zip/ Postal Code
10017-6204
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Michael Lyons, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of NATIONAL FINANCIAL SERVICES LLC, as of 12-31-2023, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Michael Lyons
Title
Chief Financial Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.