Full text of OPTSECURITIES, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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, 2021 and Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | |---------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|------------|-------------------------------------------------------------------------------------------------------|--|--| | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-S | | 8-51811 | | | | | PART Ill | | | | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING | O 1/01/2021 | AND ENDING | 12/31/2021 | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Optsecurities, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C!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.) | | | | | | | 200 South College Street, Suite 1600 | | | | | | | | (No. and Street) | | | | | | Charlotte | NC | | 28202 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | Jonathan Thornton | 704-731-5970 | | jonathan. thornton@optcapital.com<br>(Email Address) | | | | (Name) | (Area Code -Telephone Number) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | GreerWalker LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | Wells Fargo Center, 15 South Main St., Ste 800 | Greenville | SC | 29601 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 6/7/2005 | | 2324 | | | | | te of Reglstcatloc with PCAOB}Uf appl;cable) | | | (PCAO B Reglstratloo N"mbec, If appUcable) | | | | r | FOR OFFICIAL USE ONLY | | | | | |…Read the full text as markdown