Full text of AQUA SECURITIES L.P.'s X-17A-5 filed 2020-03-04 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  STATEMENT OF FINANCIAL CONDITION Aqua Securities, L.P. December 31, 2019 With Report of!ndependent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | 0MB APPROVAL | | | | |---------------------------|---------|-----|----------| | 0MB | Number: | | 3235-012 | | Expires: | August | 31, | 202( | | Estimated | average | | burder | | hours per response 12.00 | | | | 8-51866 SEC FILE NUMBER | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PART III | #### **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 BEGINNING | 01/01/19 | AND ENDING | 12/31/19 | | |--------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------------|----------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. | REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | | Aqua Securities, L.P. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 110 East 59th Street | | | | | | | (No. and Street) | | | | | New York | New York | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Kenneth Paulson | | | 212-294-7922 | | | | | | (Area Code -Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT REGISTERED PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Ernst & Young LLP | | | | | | | (Name -if individual, state last, first, middle name) | | | | | 5 Times Square | New York | New York | 10036-6530 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | 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 facts and circumstances relied on as the basis for the exemption. See section 240.17 a-5(e)(2).* SEC 1410 (0…Read the full text as markdown