Full text of DOMINARI SECURITIES LLC's X-17A-5/A filed 2024-03-11 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-37105 | | MM/DD/VY **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 **01 /01 /23** AND ENDING **12/31 /23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM : Dominari Securities LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 725 Fifth Avenue, 23rd Floor | | (No. and Street) | | | | | |----------------------------------------------|---------------------------------------------------------------------------|-------------------------------|------------|--|--| | New York | NY | | 10022 | | | | (City) | (State) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Robert Campbell<br>908-350-6220 | | robert.campbell@acaglobal.com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Marcum LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 730 Third Avenue, 11th Floor New York | | NY | 10017 | | | | (Address) | (City) | (State) | (Zip Code) | | | 10/16/2003 688 **T" of Re~stratioo w;th PCAOB}l;f applkable] 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-S(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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Kyle Wool | | | | | | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------|--|----|--------------------------…Read the full text as markdown