Full text of SECURITIES AMERICA, INC.'s X-17A-5 filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5 | | OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | |------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | | | | | | | | | | | SEC FILE NUMBER | | | | | 8-26602 | | | PART III | | | | | | | | | | FACING PAGE | | | | | | | | | | | | | | | | | MM/DD/YY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 68128 | | | | | | | | (State) | | (Zip Code) | | | | | | | | | david.schmidt@osaic.com | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | AZ | 85281 | | | | (State) | (Zip Code) | | | | | | | | | | (PCAOB Registration Number, if applicable) | | | | | | | | | | | | | | | | | | | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>NAME OF FIRM: Securities America, Inc.<br>TYPE OF REGISTRANT (check all applicable boxes):<br>Check here if respondent is also an OTC derivatives dealer<br>(No. and Street)<br>NE<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(602) 262-3301<br>(Area Code - Telephone Number)<br>B. ACCOUNTANT IDENTIFICATION<br>l empe<br>(City)<br>FOR OFFICIAL USE ONLY | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING 01/01/2023 __AND ENDING 12/31/2…Read the full text as markdown