Full text of NATIONAL SECURITIES CORPORATION's X-17A-5 filed 2022-03-17 (period 2021-12-31). 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** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | SEC FILE NUMBER 8-164 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING October 1, 2021 AND ENDING December 31, 2021 MM/DD/YY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME m FIRM: National Securities Corporation TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer • Security-based swap dealer • Major security-based swap participant • Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 5000 T-Rex Avenue, Suite 300 | | |------------------------------|--| |------------------------------|--| | | (No. and Street) | | |-------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------| | Boca Raton | FL | 33431 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Natalia Watson | (651) 869 -<br>5215 | nwatson@brileyfin.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | Spicer Jeffries LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | | 4601 OTC Boulevard, Suite 700 Denver | | co 80237 | | (Address) | (City) | (State)<br>(Zip Code) | | T"<br>of Reg Im a Hoo w<h PCAOB )(if applkableJ | | [PCAOB Reglstcatloo N,mbec, if appllrableJ I | | | FOR OFFICIAL USE ONLY | | \* 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-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 AFFIRM…Read the full text as markdown