Full text of SAFRA SECURITIES LLC's X-17A-5 filed 2024-02-23 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### SAFRA SECURITIES LLC (SEC. I.D. No. 8-51935) #### STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2023 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \*\*\*\*\*\* Filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a Public Document {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------|-----------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--| | | ANNUAL | REPORTS | | SEC FILE NUMBER | | | | FORM<br>X-17A-5<br>PART<br>III | | | 8-51935 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING<br>PAGE | | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/23 | AND ENDING | | 12/31/23<br>_ | | | | MM/DD/YY | | | MM/DD/YY | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: | SAFRA SECURITIES LLC | | | _ | | | ☐<br><br>Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>546 Fifth Avenue | Security-based swap<br>dealer | ☐<br>Major<br>security-based swap | | participant | | | | (No. and Street) | | | | | | New York | New York | | 10036 | | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Jimmy You | (212) 704-9376 | Jimmy.You@Safra.com | | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG LLP | | | | | | | | (Name – if individual, state last, first, and middle name) | | | | | | 345 Park Avenue 4th Floor | New York | | New York | 10154 | | | (Address) | (City) | | (State) | (Zip Code) | | | 10/20/2003 | | | 185 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number,…Read the full text as markdown