Full text of PARETO SECURITIES INC.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ {1}------------------------------------------------ | | UNITED STATES | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------------------------------------|--------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | 0MB APPROVAL<br>3235-0123<br>0MB Number: | | | | Washington, D.C. 20549 | | Oct. 31, 2023<br>Expires: | | | | | | Estimated average burden | | | | | | 12.00<br>hours per response | | | | REPORTS<br>ANNUAL | | | | | | FORM<br>X-17A-S | | SEC FILE NUMBER | | | | | | 8-50796 | | | | PART<br>Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | MM/DD/YV | | MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: PARETO SECURITIES INC.<br>TYPE OF REGISTRANT (check all applicable boxes):<br>181Broker-dealer<br>□ 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 P.O. Box No.)<br>150 E. 52ND STREET, 29FL | | | | | | | (No. and Street) | | 10022 | | | New York | NY | | | | | (City) | (State) | | (Zip Codel | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | ANTONELIA SPAVENTA | 212-825-4200 | | ANTONELLA.SPAVENTA@PARETOSEC.COM | | | (Name) | (Email Address}<br>(Area Code-Telephone Number) | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing*<br>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) | | | 02/23/2010 | | | 5028 | | | (Date of Registration with PCAOB)(lf applicable) | | | (PCAOB Registration Number, if applicable) | | | | 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 statemen…Read the full text as markdown