Full text of MCM SECURITIES LLC's X-17A-5 filed 2022-02-22 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | hours per response: | 12 | |--|---------------------|----| | | | | | | | | SEC FILE NUMBER **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 __ | ___<br>0_1/_0_1_/_2_0_2_1 | AND ENDING __ | __<br>_<br>1_2/_3_1_/_2_02_1 | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------|----------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | __<br>NAME OF FIRM:<br>M_C_M_S_e_c_u_r_it_1_· e_s_L_L_C | | | __________________<br>_ | | TYPE OF REGISTRANT (check all applicable boxes):<br>00 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | D Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 57th Street -<br>152 W. | 52nd Floor | | | | | (No. and Street) | | | | rlew York | r,y | | 10019 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Michael<br>J. Del Giudice<br>(Name) | (212) 218-4088<br>(Area Code - Telephone Number) | | mdelgiudice@mcmglobal.com<br>(Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Frost, PLLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 425 Capitol Avenue -<br>3300 | Little Rock | | 72201<br>AR | | (Address) | (City) | | (State)<br>(Zip Code) | | 1,2/21/2010 | | 5348 | | | rte of Reg;,tc,foo w;th PCAOB)l;f apphcable) | | | (PCAOB Reg;,n«;oo N,mbec, ,f apphcable) I | | | FOR OFFICIAL USE ONLY | | | | | | | | | * 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 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information containe…Read the full text as markdown