Full text of ZERMATT SECURITIES, INC.'s X-17A-5/A filed 2021-04-07 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLICLY AVAILABLE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 QMB APPROVAL 3235-0123 QMB Number. October 31, 2023 Expires: Estimated average burden hours per response . ... . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | | | |-----------------|--|--|--| | 8-51808 | | | | ## 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 BEGINING | JANUARY 1, 2020 | AND ENDING | DECEMBER 31, 2020 | |-------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|-----------------------------| | | MMDD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | ZERMATT SECURITIES, LLC | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 2813 COLLISCATE ROSSUITE 200 | | | | | (No. and Street) | | | | CHARLOTTE | NC | | 28211 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>NATALIE MILLER | | | 706-429-2199 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT DESIGNATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | | DAVID LUNDGREN & COMPANY | | | | | (Name - if individual, state last, first, middle name) | | | | 505 NORTH MUR-LEN ROAD OLATHE | | KANSAS | 66062 | | (Address and City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | | | | | | [X] Certified Public Accountant | | | | | Public Accountant<br>Accountant not resident in United States or any of its possessions | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \* Claims for exemption from the reguirent that the annual audit 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 this form are required to respond unless the form displays a current valid OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION  - (m) A copy of the SIPC Supplemental Report. - (n) A report describing any ma…Read the full text as markdown