Full text of PARETO SECURITIES INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PARETO SECURITIES INC. STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 {1}------------------------------------------------ | UNITED ST ATES | | | | |----------------|------------------------|------------------------------------|--| | | | SECURITIES AND EXCHANGE COMMISS10N | | | | Washington, D.C. 20549 | | | | | hours per response ••• 12.00 | | |-------------|------------------------------|-----------| | | Estlmaled average burden | | | | Expires: August 31, 2020 | | | OMBNumbtlr: | | 3235-0123 | | | | | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** # 8- 50796 # 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 | 01/01/2019 | AND ENDING | 12/31/2019 | | |---------------------------------------------------------------------------|----------------------------------------------------------|------------|-----------------------------|--| | | ~~~~~~~~~~~~<br>MM/DD/YYYY | | -~~~~~~~~~~<br>MM/DDNYYY | | | | A. REGISTRANT lD 1NTlFICATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | PARETO SECURITIES INC. | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | | 150 EAST 52ND STREET, 29TH FLOOR | | | | | | {No. und Street) | | | | | NEW YORK | NY | | 10022 | | | (Citv) | (Slate) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT JN REGARD TO THIS REPORT | | | | | | ANTONELLA SPAVENTA | | | (212) 829-4200 | | | | | | (Area Code --Telephone No.) | | | | B. ACCOUNT ANT IDENTIFlCATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | RGNC&S Certified Public Accountants, PLLC | | | | | | | (Name -- if individual, state /a!!I, first. middle name) | | | | | 97 Froehlich Farm Blvd. | Woodbury | NY | 11797 | | | | IC'i1yl | (Stntt) | | | | CHECK ONE:<br>l!l Certified Public Accountant<br>D<br>Public Accountant | | | | | | 0<br>Accountant not resident in United States or any of its possessions | | | | | | | | | | | *\*Claims for exemption from the req11lremenl that the annual report be covered by the opinion of an indepe11de11t public accountant must be supported by a statement o.f facts and circumstances retied* 011 *as the basis for the e.xernption. See section 240. I 7a-5(e)(2).* > Potentlal persons who are to respond to the collection of Information contained In…Read the full text as markdown