Full text of SRT SECURITIES LLC's X-17A-5 filed 2022-03-31 (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 | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: OcL 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMBER | | | 8-34415 | | ## **ANNUAL REPORTS FORM X-17A-5 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 _ | __<br>_ ~0_1_/0_1_/_2_1 | | AND ENDING --~1_2_/3_1~/=2_1 __<br>_ | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | SRT SECURITIES LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>fZJ Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 514 Round Hill Road | | | | | | ( No. and Street) | | | | Greenwich, | CT | | 06831 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Michael Fruchter | (212)207-34 70 | | mfruchter@srtsecurities.com | | {Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are cont ained in this filing*<br>APRIO, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 7 PENN PLAZA. STE 210 | NEW YORK | NY | 10001 | | (Address) | (City) | (State) | (Zip Code) | | 11/25/2003 | | | 926 | | | | | (PCAOB Reg;st,atio" N"mbe<, ff applkable) | | | FOR OFFICIAL USE ONLY | | | | * Claims for exemption from t he requirement t hat the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of t he exemption. See 17 | | | | Persons who are to respond to the collection of information contained in this form are not required to respond unless the form C…Read the full text as markdown