Full text of SEB SECURITIES, INC.'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}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | OMB APPROVAL | | |-------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------|--| | | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burde<br>hours per response: 12 | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | | | 8-40644 # FORM X-17A-5 PART III # 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 | AND ENDING | 12/31/2021 | | |------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: SEB Securities, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | Broker-dealer D Security-based swap dealer Major security-based swap participant | | | | | | O check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 245 Park Avenue, 33rd floor | | | | | | | (No. and Street) | | | | | New York | | New York | | 10167 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Anna Elinore Stroem | (212) 907-4855 | | | elinore.strom@sebny.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling *<br>CohnReznick LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 1301 Avenue of the Americas | New York | | New York | 10019 | | (Address) | (City) | | (State) | (Zip Code) | | 10/14/2003 | | રતેર | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports of an independent public acco…Read the full text as markdown