Full text of MTS SECURITIES, LLC's X-17A-5 filed 2021-03-10 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 #### OMB Number: 3235-0123 Expires: Estimated average burden hours per response OMB APPROVAL # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | 011 15500 135. I 2.00 | |-----------------------| | | | SEC FILE NUMBER | | 8-52515 | 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 01/01/2020 | | | AND ENDING 12/31/2020 | | | |------------------------------------------------------------------------------------------|------------|---------------------------------------------------------------------|-----------------------|--------------------------------|--| | | | MM/DD/Y Y | | MM/DD/Y Y | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: MTS Securities, LLC | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM I.D. NO. | | | 623 Fifth Avenue | 14th Floor | | | | | | | | (No. and Street) | | | | | New York | | NY | | 10022 | | | (City) | | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Dennis Conroy | | | | 212-887-2171 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Marcum LLP | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 750 Third Avenue | 11th Floor | New York | NY | 10017 | | | (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 240.17a-5(c)(2) > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### OATH OR AFFIRMATION | Denni…Read the full text as markdown