Full text of SEB SECURITIES, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2020 {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | OMB APPROVAL SEC FLE NUMBER 40644 Expires: August 31, 2020 Estimated average burden hours per response . . . 12.00 8 - 3235-0123 OMB Number: # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | | 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 BECINNING | 1/1/2020 | AND ENDING | 12/31/2020 | |--------------------------------------------------------------------------------------------------|--------------------------------------------------------------------|------------|--------------------------------------------------| | | MMDDAYY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER | | | | | SEB Securities, Inc. | | | OFFICIAL USE ONLY | | | | | FRM D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>245 Park Avenue, 33rd Floor | | | | | | (No. and Street) | | | | New York | New York | | 10167 | | (City) | (State) | | (Zip Code) | | Anna Elinore Stroem | | | (212) 907 - 4855<br>(Area Code -- Telephone No.) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contamed in this Report®<br>CohnReznick LLP | | | | | | (Name - if indevidual, state last, first, middie name } | | | | 1301 Avenue of the Americas | New York | New York | 10019 | | (Address) | (City) | (State) | (Zip Code) | | CHIPCK ONE<br>Certified Public Accountant<br>@ Public Accountant | 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 nust be supported by a statement offacts and circumsionces relied on as the basis for the exemption. See section 240.17a-5(e)(2). SEC 1410 (06-02) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a curr…Read the full text as markdown