Full text of JMP SECURITIES LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **JMP Securities LLC** **Financial Statement December 31, 2021** {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** OMB APPROVAL OMB Number: 3235·0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 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 01/01/2021 MM/DD/VY AND ENDING 12/31/2021 MM/DD/VY A. REGISTRANT IDENTIFICATION NAME OF FIRM: JMP Securities LLC TYPE OF REGISTRANT (check all applicable boxes): D Check here if respondent is also an OTC derivatives dealer ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 600 MOntgomery Street, Suite 1100 | | (No. and Street) | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|-----------------------------------------|-------------------|--| | San Francisco | CA | | 94111 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Raymond Jackson | (415) 835-3979 | | rjackson@jmpg.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Marcum LLP<br>1 Montgomery Street, Suite 1700 | (Name - if individual, state last, first, and middle name)<br>San Francisco | CA | 94104 | | | (Address) | (City) | (State) | (Zip Code) | | | rte<br>of RegiWafoo with PCAOB)(if appH<able) | | (PCAOB Regl,.raUoo N"mb", if applkable) | | | | | FOR OFFICIAL USE ONLY | | I | | | • Claims for exemption from the requirement that 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 the exemption. See 17 | | | | | CFR 240.l 7a-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 OMB control number. {2}---------------…Read the full text as markdown