Full text of BETA CAPITAL SECURITIES LLC's X-17A-5 filed 2021-03-15 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # BETA CAPITAL SECURITIES, LLC REPORT PURSUANT TO RULE 17A-5 UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND REGULATION 1.16 UNDER THE COMMODITY EXCHANGE ACT DECEMBER 31, 2020 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... . . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | B-48481 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING_o_1_10_1_1_2_0 | _____ | AND ENDING | ____<br>__<br>_<br>1_2_/3_1_/_2_0 | | |------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|-----------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Beta Capital Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | 777 Brickell Avenue, Suite 1201 | | | | | | (No. and Street) | | | | | Miami | FL | | 33131 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>ldelma Hervis | | | 305-358-8814 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Kaufman Rossin & Co., P.A. | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 3310 Mary Street, Suite 501 | Miami | FL | 33133 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be 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.l 7a-5(e)(2)* > **Potential persons who are to respond to the collect…Read the full text as markdown