Full text of FIELDPOINT PRIVATE SECURITIES, LLC's X-17A-5 filed 2022-03-16 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL REPORT December 3.1, 2021 "This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition bound separately has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC document." {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, O.C. 20549 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE OMB APPROVAL OMB Number: 323S·0123 Expires: Oct. 31. 2023 Estimated average burden hours per responw: l <sup>~</sup> SEC fllE NUMBER 8-37105 Information Required Pursuant to Rules 17a·S, 17a·1Z, and 18a·7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING Q 1/01 /2021 MM/00/YY AND ENDING 12/31 /2021 MM/DO/VY A. REGISTRANT IDENTIFICATION NAME oF FrRM: Fieldpoint Private Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): I!! Broker-dealer 0 Security-based swap dealer :J Check here if respondent is also an OTC derivatives dealer ::::J Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P .0. box no.) 100 Field Point Rd. (No. and Street) Greenwich CT 06830 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Robert Campbell 203-413-9300 rcampbell@fieldpointprivate.com {Name) (Area Code -Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* RSM US LLP (Name - if individual, state last. first, and middle name) 216 Summit Blvd. Suite 300 Birmingham AL 35243 (Address) (City) (State) (Zip Code) 09/24/2003 49 T,. of •••'""''•• w;th PCAOSllif •PPfi<>bl•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-5(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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | I, Christopher J Delaura | | , swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------…Read the full text as markdown