Full text of SAMI BROKERAGE LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### F INANCIAL S TATEMENTS AND S UPPLEMENTA L I NFORMATION SAMI Brokerage LLC Year Ended December 31, 2019 With Report and Supplemental Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . . . . . 12.00 8 SEC FILE NUMBER FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | |------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|----------|--------------------------------|--| | | REPORT FOR THE PERIOD BEGINNING 01/01/19 | | AND ENDING 12/31/19 | | | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: SAMI Brokerage LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 2 High Ridge Park | | | FIRM I.D. NO. | | | | (No. and Street) | | | | | Stamford | CT | | 06905 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Jean Orlando 203-321-1136 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Ernst & Young LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 801 Grand Avenue | Des Moines | IA | 50309 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | ### FOR OFFICIAL USE ONLY \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must and proceded by a statement mic the annual report of on independent public assemption. See Section 240. Ta-Sell (24. I 10-Se) (2 > Potential persons who are to respond to the collection of information contained in this form are not required to respond mormation contained in this form are not required to respond > unless…Read the full text as markdown