Full text of PARETO SECURITIES INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PARE TO SECURITIES INC. STATEMENT OF FINANCIAL CONDITION DECEMBER 31 , 2022 {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** **Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-1Z, and 18a-7 under the securities Exchange Act of 1934** REPORT FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING 12/31/2022 MM/DD/VY MM/DD/VY #### **A. REGISTRANT IDENTIFICATION** NAME OF **FIRM: PARETO SECURITIES INC.** TYPE OF REGISTRANT (check all applicable boxes): 181Broker-dealer Security-based swap dealer Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | 150 E.52No STREET, 29FL | | | | | |--------------------------------------------------|---------------------------------------------------------------------------|---------|--------------------------------------------|--|--| | | {No. and Street) | | | | | | NEWYORK | NY | | 10022 | | | | {City) | (State] | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | ANTONELLA SPAVENTA | 212-829-4200 | | ANTONELLA.SPAVENTA@PARETOSEC.COM | | | | (Name) | {Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | RGNC&S Certified Public Accountants, PLLC | | | | | | | {Name- if individual, state last, first, middle name) | | | | | | 97 Froehlich Farm Blvd | Woodbury | NV | 11797 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 02/23/2010 | | | 5028 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | \* Claims for exemption from the requirement that the annual reports be covered by t he 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-5(el(l)(II), If applicable. Persons who are to respond to the collection of information contained in this form a re not required to respond unless the form displays a anrently valid 0MB control number. 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours oer resoonse: 12 *SEC* FILE NUMBER **8-…Read the full text as markdown