Full text of AURORA SECURITIES INC's X-17A-5 filed 2024-03-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | 0MB APPROVAL | | |----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------|--| | | 0MB Number. 3235-0123<br>Expires: Nov. 30, 2026 | | | | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | | | Estimated average burden<br>hours per response: 12 | | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | FORM X;.17A-5 | | | | | PART Ill | | | | | | | | | | 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 O 1/01/2023 | AND ENDING | 12/3112023 | | | | MM/DD/YY | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: Aurora Securities, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l:!J Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | □ Major security-based swap participant | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 2565 West Maple Road | | | | | | (No. and Street) | | | | Troy | Ml | 48084 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | 248-414-1955 | | | | Lori Kamen | | lkamen@sassetmgmt.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Carnaghi & Schwark, PLLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 39425 Garfield Rd, Ste 25 | Clinton Township | 48038<br>Ml | | | (Address) | (City) | (State)<br>(Zip Code) | | | 5/19/2009 | | 3421 | | | rt, of.Reg;<tr,tioo w;th PCAOB)Of ap~;c,ble) | | | | | | 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 statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unles…Read the full text as markdown