Full text of GRIFFIN CAPITAL SECURITIES, LLC's X-17A-5 filed 2023-03-14 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **(SEC I.D. NO. 8-4 7891)** # STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2022 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-47891 | 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 01/01/22 | | AND ENDING 12/31 /22 | |------------------------------------------|----------|----------------------| | | MM/DD/VY | MM/DD/VY | **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Griffin Capital 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 ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 18191 Von Karman Avenue, Suite 300 | | (No. and Street) | | | | |------------------------------------------------------------|---------------------------------------------------------------------------|-----------------|-----------------------------------------|--| | Irvine | CA | | 92612 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Rodney lshioka | (949) 739-7727 | | rishioka@apollo.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Deloitte & Touche LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 30 Rockefeller Plaza | New York | NY | 10112-0015 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | | 34 | | | | rte<br>of R,g;stcaUoo w;th PCAOB)(;f appUcable) | | | {PCAOB Reg;mat;oo N,mbec, ;f appUcable) | | | | FOR…Read the full text as markdown