# EDGAR Filing Document

**Accession Number:** 0000071260
**File Stem:** 0000071260-23-000004
**Filing Date:** 2023-3
**Character Count:** 2745
**Document Hash:** bc10fd0543ed55fd8026e804e8d7dabb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000071260-23-000004.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0000071260-23-000004

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**EFFECTIVENESS DATE**: 20230310

**PERIOD START**: 20220101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROTHSCHILD & CO US INC.
- **CENTRAL INDEX KEY:** 0000071260
- **IRS NUMBER:** 132589894
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-13852
- **FILM NUMBER:** 23723944

**BUSINESS ADDRESS:**
- **STREET 1:** 1251 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10020
- **BUSINESS PHONE:** 212-403-3610

**MAIL ADDRESS:**
- **STREET 1:** 1251 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10020

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROTHSCHILD INC.
- **DATE OF NAME CHANGE:** 20021105

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROTHSCHILD INC                                          /BD
- **DATE OF NAME CHANGE:** 20000101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROTHSCHILD INC /NY                                      /BD
- **DATE OF NAME CHANGE:** 19970730

### Attached PDF Documents

**Attachment 1:** `RINCSOFCFY22.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000071260

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** No

### Submission Information

**Report Period Begin Date:** 01-01-2022

**Report Period End Date:** 12-31-2022

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** ROTHSCHILD & CO US INC.

**Business Address:** 1251 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020

**Contact Person:** andrew.smith@rothschildandco.com

**Contact Phone:** 716-338-2602

### Independent Public Accountant Identification

**Accountant Name:** KPMG LLP

**Accountant Address:** 345 Park Ave, New York, NY, 10154

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Christa Schackert**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **ROTHSCHILD & CO US INC.**, as of **12-31-2022**, are true and correct.

**Signature:** Christa Schackert

**Title:** Director of Finance - Controller

**Notarized:** Yes