Full text of ACQUEST SECURITIES LLC's X-17A-5 filed 2020-02-11 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: August 31,2020 Estimated average burden s-44071 # **ANNUAL AUDITED REPORT** hours per response 12.00 **FORM X-17A-5 PART III** SEC FILE NUMBER **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | 12/31/2019<br>AND ENDING | MM/DD/YY | | |-------------------------------------------------|----------------------------------|--| | | | | | | | | | | | | | | OFFICIAL USE ONLY | | | | FIRM I.D. NO. | | | | | | | | | | | 77019 | | | | (Zip Code) | | | | THIS<br>REPORT | | | | | 917-860-2084 | | | | (Area Code -Telephone<br>Number) | | | | | | | if individual, state last, first, middle name ) | | | | TX | 75423 | | | (State) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report he covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information containedin thisform are notrequired torespond SEC 1410 (06-02) unlesstheformdisplays <sup>a</sup> currently valid OMB controlnumber.** {1}------------------------------------------------ #### OATH OR AFFIRMATION **I. Sheldon Stoughton** , swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Acquest Securities, LLC , as of **December** <sup>31</sup> ,2019 ,are true and correct. <sup>I</sup> further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of <sup>a</sup> customer, excep<sup>t</sup> as follows: > . - **Sheldon Stoughton, Member** **fiftSEr\*** io No laeansoa Signature - Title / This repor<sup>t</sup> \*\* contains(check all applicable boxes): SI (a) Facing Page. - HI (b) Statement of Financial Condition. - El (c) Statement of Income (Loss). - 13 (d) Statement of Changes in Financial Condition. - S (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. - (f) Statement of Changes in Liabilities Subordinated toClaims of Creditors. - S (g) Com…Read the full text as markdown