Full text of OREC SECURITIES, LLC's X-17A-5 filed 2022-05-27 (period 2022-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition March 31, 2022 (With Report of Independent Registered Public Accounting Firm) Annual Audited Report Pursuant to Rule 17A-5(e)(3) {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31. 2023 Estimated average burden # ANNUAL REPORTS FORM X-17A-5 PART III | ours hel response. | | | |--------------------|--|--| | | | | | SEC FILE NUMBER | | | | 8-31175 | | | 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 04/01/2021 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: OREC Securities, LLC, d/b/a Lument Securities TYPE OF REGISTRANT (check all applicable boxes): □ Security-based swap dealer ■ Broker-dealer [] Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant AND ENDING 03/31/2022 ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 10 West Broad Street, 8th Floor | | (No. and Street) | | | | | |---------------------------------------------------------------------------------------|--------------------------------|-------------------------|--|--|--| | Columbus | Ohio | 43215 | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Robert T. Kirkwood 614-384-2372 | | bob.kirkwood@lument.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. Accountant Identification | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 2323 Ross Avenue, Suite 1400 Dallas | | 75201<br>Texas | | | | | (Address) | (City) | (State)<br>(Zip Code) | | | | October 20, 2003 185 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(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 nu…Read the full text as markdown