Full text of BLACK OAK SECURITIES, INC.'s X-17A-5 filed 2023-09-26 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, o.c. <sup>20549</sup> # ANNUAL REPORTS FORM X-17 A-5 PART Ill OMB APPROVAL OMB Number: 3235-0123 Expires: act. 31, 2023 Estimated average burden hours per response: 12 SECFILE NUMBER | Information<br>Required<br>Pursuant | FACING<br>PAGE<br>to<br>Rules<br>17a-5,<br>17a-12,<br>and 18a-7<br>under | the<br>Securities<br>Exchange | Act<br>of 1934 | | |-------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------|-------------------------------|---------------------------|--| | | 07/01/2022 | 06/30/2023 | | | | FILING<br>FOR<br>THE<br>PERIOD | BEGINNING<br>AND<br>MM/DD/YY | ENDING | MM/DD/YY | | | | A.<br>REGISTRANT<br>IDENTIFICATION | | | | | Black<br>NAME<br>OF<br>FIRM: | Oak<br>Securities,<br>Inc. | | | | | TYPE<br>OF<br>REGISTRANT<br>(check<br>€<br>EI<br>Broker-dealer<br>€<br>Check here if respondent | a!l applicable<br>boxes):<br>€<br>Security-based<br>swap<br>dealer<br>Major<br>is also an OTC derivatives<br>dealer | security-based<br>swap | participant | | | ADDRESS<br>OF PRINCIPAL<br>PLACE | a p.o.<br>OF<br>BUSINESS:<br>(Do<br>not<br>use<br>box | no.) | | | | 707<br>Carroll<br>Street | -<br>Suite<br>C | | | | | | (No. and Street) | | | | | Pawnee | IL | | 62558 | | | (City) | (State) | | (Zip Code) | | | PERSON<br>TO<br>CONT<br>ACT<br>WITH | REGARD<br>TO THIS<br>FILING | | | | | Dwan<br>Gross | 217-498-7876 | | | | | (Name) | (Area Code - Telephone<br>Number) | | | | | | B. ACCOUNTANT<br>IDENTIFICATION | | | | | | | | | | | INDEPENDENT<br>PUBLIC<br>ACCOUNTANT<br>Kerber<br>Eck<br>&<br>Braeckel | whose<br>reports<br>are<br>contained<br>LLP | in this<br>filing* | | | | | (Name-if<br>individual,<br>state<br>last, first,<br>and middle | name) | | | | 3200<br>Robbins<br>Road | Suite<br>2(<br>Springfield | IL | 62704 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/22/2003 | | 718 | | | | (Date of Registration<br>with<br>PCAOB)(if | applicable) | (PCAOB Registration | Number,<br>if applicable) | | " Claims for exemption from the requirement that the annual reports be covered by the reports 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.l7a-5(e%l%ii), if applicable. Persons who are to re…Read the full text as markdown