Full text of OPTSECURITIES, LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statements and Supplemental Disclosures for the Year Ended December 31 , 2020 and Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... . . 12.00 8-51811 SEC FILE NUMBER # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | --------<br>01/01/2020<br>-<br>MM/DD/YY | --<br>AND ENDING | ----<br>------<br>12/31/2020<br>-<br>MM/00/YY | | |--------------------------------------------------------------------------|---------------------------------------------------------------------|------------------|-----------------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | Optsecurities, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | | 200 South College Street, Suite 1600 | | | | | | (No. and Street) | | | | | Charlotte | NC | | 28202 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Jonathan Thornton | | | 704-731-5970<br>(Area Code -Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | GreerWalker LLP | | | | | | (Name - if individual. s1a1e las/, firs/. middle name) | | | | | 227 West Trade Street, Suite 1100 Charlotte | | NC | 28202 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>a<br>✓<br>certified Public Accountant<br>Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of/acts 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…Read the full text as markdown