Full text of THE SECURITIES GROUP, LLC's X-17A-5 filed 2019-02-27 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITEDSTATES | | OMB APPROVAL | |---------------------------------------------------------------------------|-----------------------------------------------------------|---------------------------------------------------------|-------------------------------| | | SECURITJESANDEXCHANGECOMMJSSION | | OMB Number:<br>3235-0123 | | Washin&ton, D.C. 20549 | | August 31, 2020<br>Expires:<br>Estimated average burden | | | | ANNUAL AUDITED REPORT | | nse 12.00<br>hours<br>r | | | FORM X·17A·5 | | | | | PART Ill | | SEC FILE NUMBER | | | | | &-53635 | | | FACING PAGE | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | | | Securities Exchange Act of 1934 and Rule 17a-S Thereunder | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/18 | AND ENDING | 12/31/18 | | | MMIDDIYY | | MMIOD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: THE SECURITIES GROUP' LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: , (Do not use P.O. Box No.) | | | FIRM 1.0. NO., | | 6465 N. QUAIL HOLLOW ROAD, SUITE 400 | | | | | | (No. and Street) | | | | MEMPHIS | TN | | 38120 | | (City) | (SDtc) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | CHRISTIE MICHELLE VINCE!fl' | | | 901-328-<U! 14 | | | | | (Area Code- Telephone Number) | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT wbose opinion is contained in this Report• | | | | | WATKINS UIBERALL, PLLC | | | | | | (Name - if iruliYid~~al, 11111~ last, jlm. •iddlt MJJU) | | | | 1661 AARON BRENNER DR., SUITE 300 MEMPHIS | | TN | 38120 | | (Address) | (City) | (State} | (Zip COOt) | | CHECK ONE: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | §<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *must be supported by a statement of facts and CITCU'7"tances relied on as the basis/or the exemption. See Section 141. I 77·5(e)(2)* I I • I > Potential peraona who are to reapond to the collection of lnformaUon contained In thla form 1re not required to reapond unleaa the form dlapl• a currently valid OMB control number. SEC 141 0 (06-02) {1}------------------------------------------------ #### OATH OR AFFIRMATION | J, CHRISTIE MICHELLE VINCENT | , swear (or affirm) that, to the best of | |---------------------------------------------…Read the full text as markdown