Full text of EAST WIND SECURITIES, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **EAST WIND SECURITIES, LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2022** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORM X-17A-S PART Ill** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | SEC FILE NUMBER 8-67955 **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 **0 1/01 /22** MM/DD/VY MM/DD/VY **A. REGI STRANT IDENTIFICATION** # NAME oF FIRM: East Wind Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): [!) Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer AND ENDING **12/31 /22** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 810 Seventh Avenue, 35th Floor | NY<br>(State)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>561-784-8922<br>(Area Code - Telephone Number) | | 10019<br>(Zip Code)<br>ssinger@mavenstrategic.com | |-----------------------------------------------------------------------------------------------------------------|-----------------|-----------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | 07712 | | | (State) | (Zip Code) | | | 3686 | | | | | | | | Ocean | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name)<br>NJ | \* Claims for exemption from the requirement that the annual reports be covered by the �eports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-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 0MB control number.** {2}------------------------------------------------ | 003HIa Ochward - 1 1 10 1 1 10 1<br>, Sweat (of anning that, to the best of the best of the pener, the | |-----------------------------------------…Read the full text as markdown