Full text of PARETO SECURITIES INC.'s X-17A-5 filed 2024-03-28 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30, 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-50796 PART III 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 01/01/2023 AND ENDING 12/31/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: PARETO SECURITIES INC. TYPE OF REGISTRANT (check all applicable boxes): 回 Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 150 E.52ND STREET, 29 FL (No. and Street) 10022 NY NEW YORK (Zip Code) (State) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING ANTONELLA SPAVENTA 212-829-4200 ANTONELLA.SPAVENTA@PARETOSEC.COM (Email Address) (Area Code - Telephone Number) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Assurance Dimensions (Name - if individual, state last, first, and middle name) 33607 n 4920 West Cyprus Street, Suite 102 l ampa (Zip Code) (State) (City) (Address) 5036 04/13/2010 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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(e)(1)(ii), if applicable. displays a currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Antonella Spaventa | | swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------|------------|-------------------------------------------------------------------------------------------------------------------------------------| | tinancial report pertaining to the firm of Pareto Securities Inc. | | as of | | 12/31 | | 2 023 . _ | | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | as that of a customer. | | | | | LORI…Read the full text as markdown