Full text of NATIONAL SECURITIES CORPORATION's X-17A-5 filed 2021-12-27 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20S49<br>ANNUAL REPORTS | | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>'Estimated average burden<br>hours per response: 12 | | | |-----------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------|----------------------------------------------|----------------------------------------------------------|-----------------------------------------|------------------------------------------------------------------------------------------------------------------------|--|--| | | | | | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | 8-164 | | | | | | | PART Ill | | | | | | | | | FACING PAGE | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING October 01, 2020 AND ENDING September 30, 2021 | | | | | | | | | | | MM/DJ/VY | | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME m FIRM: National Securities Corporation | | | | | | | | | ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>5000 T-Rex Avenue, Suite 300 | Boca Raton<br>(City) | (No. and Street) | FL<br>(State) | | 33431<br>(Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Natalia Watson<br>(Name) | | (651) 869 -<br>(Area Code -Telephone Number) | 5215 | | nwatson@yournational.com<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Spicer Jeffries LLP | | | | | | | | | | | | (Name-if individual, state last, first, and middle name) | | | | | | 4601 OTC Boulevard, Suite 700 Denver | | | | co | 80237 | | | | (Address) | | ·(City) | | (State) | {Zip Code) | | | | | | | | | (PCAOB Reg;,tratron N•mbe,, ;f appUcableJ | | | CFR 240.17a-S(e)(l)(ii), 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 0MB control number. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** I, Natalia Wat…Read the full text as markdown