Full text of AUFHAUSER SECURITIES, INC.'s X-17A-5 filed 2025-04-01 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ AUFHAUSER SECURITIES, INC. AUDITED FINANCIAL STATEMENTS AND SEC FORM X-17-A-5, PART III YEAR ENDED DECEMBER 31, 2024 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 SEC FILE NUMBER 8-48786 MM/DD/YY FILING FOR THE PERIOD BEGINNING 01-01-2024 AND ENDING 12-31-2025 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: AUFHAUSER SECURITIES INC. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer O Check here if respondent is also an OTC derivatives dealer [ Security-based swap dealer \_ \_ \_ \_ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 112 WEST 56 STREET | | | (No. and Street) | | |----------|----------------------------------------------|----------------------------------------------------------------------------|------------------| | NEW YORK | NEW YORK | 10019 | | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | ROBERT KEITH AUFHAUSER 212-246-9420 | | ADMIN@AUFSEC.COM | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | MERCURIUS ASSOCIATES LLP | | | | | (Name - if individual, state last, first, and middle name) | | | |--------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | A-94/8, WAIIRPUR INDUSTRIAL AREA NEW DELHI | | NGI | 110052 | | (Address) | (City) | (State) | (Zip Code) | | | | 3223 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual 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 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the…Read the full text as markdown