Full text of TIME EQUITIES SECURITIES LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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 APPROVAL | |-------------|---------------------------| | OMB Number: | 3235-0123 | | Expires: | August 31 , 2020 | | | Estimated average burden | | | hours per response 12.00 | SEC FILE NUMBER 8-53420 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill FACING PAGE # Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | AND ENDING 12/31/2019<br>REPORT FOR THEPERIODBEGJNNING01/01/2019<br>~~~~~~~~~ | | | | |--------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|---------|-------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Time Equities Securities LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRlNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 55 Fifth Avenue, 15th Floor | | | | | | | (No. and Street) | | | | | New York | New York | | 10003 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>Kristy Johnson | | | (281) 367-0380 | | | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Meisel, Tuteur, & Lewis, P.C. | | | | | | | (Name - if individual, state fast, firsi, middle name) | | | | | 101 Eisenhower Parkway | Roseland | NJ | | 07068 | | (Address) | (City) | (State) | | (Zip Code) | | CHECK ONE: | | | | | | IV I<br>certified Public Accountant | | | | | | OPublic Accountant | | | | | | DAccountant 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. l 7a-5(e}{2)* SEC 1410 (06-02) 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. {1}---------------------------------…Read the full text as markdown