Full text of AQUA SECURITIES L.P.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  STATEMENT OF FINANCIAL CONDITION Aqua Securities, L.P. December 31, 2020 With Report of!ndependent Registered Public Accounting Firm {1}------------------------------------------------ | | | | 0MB APPROVAL | |--------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------|------------|--------------------------------| | | | | 0MB Number: 3235-0123 | | | UNITED STATES | | Expires: October 31, 2023 | | | SECURITIES AND EXCHANGE COMMISSION | | Estimated<br>average<br>burder | | | Washington, D.C. 20549 | | nours per response 12.00 | | | ANNUAL AUDITED REPORT | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-51866 | | | PART III | | | | | FACING PAGE | | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/20 | AND ENDING | 12/31/20 | | | MM/DD/YY | | MM/DD/YY | | | A.<br>REGISTRANT IDENTIFICATION | | | | NAME OF BROKER -DEALER: | | | | | | | | OFFICIAL USE ONLY | | Aqua Securities, L.P. | | | FIRM ID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use PO Box No.) | | | | | 110 East 59th Street | | | | | | (No. and Street) | | | | New York | New York | | 10022 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Kenneth Paulson | | | 212-294-7922 | | | | | (Area Code -Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT REGISTERED PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Ernst & Young LLP | | | | | | (Name -if individual, state last, first, middle name) | | | | 5 Times Square | New York | New York | I 0036-6530 | | (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 be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5{e){2). SEC 1410 {11-05).* {2}---------------------…Read the full text as markdown