Full text of SECURITIES AMERICA, INC.'s X-17A-5 filed 2022-02-28 (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 III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-26602 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 12/31/2021 FILING FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Securities America, Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer O Check here if respondent is also an OTC derivatives dealer @ Security-based swap dealer | | Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 12325 Port Grace Blvd. | | | | | | | | |----------------------------------------------|----------|----------------------------------------------------------------------------|--------------------------------|--|--|--|--| | | | (No. and Street) | | | | | | | | La Vista | NE | 68128 | | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | David Schmidt | | (602) 262-3301 | David.Schmidt@advisorgroup.com | | | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | Deloitte & Touche LLP | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | (Name - if individual, state last, first, and middle name) 2901 N. Central Ave, Suite 1200 Phoenix Arizona 85012 (City) (State) (Address) (Zip Code) 34 October 20, 2003 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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)(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 OMB control number. Public {1}------------------------------------------------ #### OATH OR AFFIRMATION | David Schmidt<br>I, | |---------------------| |---------------------| swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining…Read the full text as markdown