Full text of CRI SECURITIES, 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}------------------------------------------------ Financial Statements and Supplementary Schedules (with report of independent registered public accounting firm thereon) December 31, 2019 {1}------------------------------------------------ | | | | | | OMB APPROVAL | | |--------------------------------------------|------------|------------------------------------------------------------------------------------------|---------------------|--------------|-------------------------------------------------------|--| | | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: | 3235-0123 | | | | | Washington, D.C. 20549 | | Expires: | August 31, 2020 | | | | | | | | Estimated average burden<br>hours per response 12.00 | | | | | ANNUAL AUDITED REPORT | | | | | | | | FORM X-17A-5 | | | | | | | | PART III | | | SEC FILE NUMBER | | | | | | | | 8- | | | | | FACING PAGE<br>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: CRI Securities. LLC | | | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 400 Robert Street North | | | | | | | | | | (No. and Street) | | | | | | | Saint Paul | MN | | 55101 | | | | (City) | | (State) | | (Zip Code) | | | | Lisa Carriere | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 651-665-3045 | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report® | | | | | | | | | | | | | | | | | | | | | | | | (Name - if individual, state fast, first, suidels non assiste monthe ( | | | | | | Crowe LLP<br>488 Madison Ave. Floor 3 | | New York | NY | | 10022 | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant nust be supported by a statement of facts and iresumstances relied on as the basis for the exemption. See Section 240. ITa-Se)(2) SEC 1410 (11-05) Potential persons who are to respond to the collection of information contained in this form are not required to responsive in responsive {2}------------------------------------------------ ### OATH OR AFFIRMATION I, George I. Connolly swear (…Read the full text as markdown