Full text of PARETO 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}------------------------------------------------ {1}------------------------------------------------ UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | 0MB APPROVAL | | | |----------------------------|-----------|--| | 0MB Number: | 3235-0123 | | | Expires: October 31, 2023 | | | | Estimated average burden | | | | hours cer re.s.oonse 12.00 | | | | ANNUAL | AUDITED | REPORT | |--------|--------------|--------| | | FORM<br>X-17 | A-5 | | | PART | Ill | ### SEC FILE NUMBER **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 | 01/01/2020 | AND ENDING | 12/31/2020 | | | |--------------------------------------------------------------------------|---------------------------------------------------------|------------|-----------------------------|--|--| | - | -<br>----------<br>MM/DD NYYY | - | ----------<br>MM/DDNYYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | | | | | | | PARETO SECURITIES INC. | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | | | 150 EAST 52ND STREET, 29TH FLOOR | | | | | | | (No. and Street) | | | | | | NEW YORK | NY | | 10022 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | ANTONELLA SPAVENTA | | | (212) 829-4200 | | | | | | | (Area Code - Telephone No.) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | RGNC&S Certified Public Accountants, PLLC | | | | | | | | (Name - if individual. state last. first. middle name ) | | | | | | 97 Froehlich Farm Blvd. | Woodbury | NY | 11797 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | I!) Certified Public Accountant<br>D Public Accountant | | | | | | | D<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 240.17a-5(e)(2).* > **Potential persons who are to respond to the collection of information contained In th…Read the full text as markdown