Full text of THE SECURITIES GROUP, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UN1TEDSTATES | | | OMB APPROVAL | |---------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------|------------------|--------------------|--------------------------------------------------| | | SECURITIESAND EXCHANGECOMMISSION | | OMB Number: | 3235-0123 | | | Washington, D.C. 20549 | | Expires: | October 31,2023 | | | | | hours per response | Estimated average burden<br>12.00 | | | AUDITED<br>ANNUAL | REPORT | | | | | X-17A-5<br>FORM | | | SEC FILE NUMBER | | | PART<br>III | | | 8-53635 | | Required of<br>Information<br>Securities | FACING PAGE<br>Brokers and Dealers Pursuant to Section 17 of the<br>Exchange Act of 1934 and Rule | 17a-5 Thereunder | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/20 | AND ENDING | 12/31/20 | | | | MMDD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER:The | Group<br>Securities<br>, | LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM I.D. NO. | | Hollow<br>North<br>Quail<br>6465<br>, | Suite<br>400 | | | | | | ( No. and Street ) | | | | | Memphis | TN | | 38120 | | | ( City ) | ( State ) | | (Zip Code ) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Christie Michelle Vincent | | | | 901-328-4814<br>( Area Code - Telephone Number ) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report *<br>Uiberall<br>PLLC<br>Watkins | | | | | | | ( Name -if individual, slate last, first, middle name ) | | | | | 1661 Aaron Brenner Drive, Suite 300 | Memphis | TN | | 38130 | | ( Address) | (City) | (State ) | | (Zip Code ) | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for exemption from the requirement that the annual repor<sup>t</sup> he covered hv the opinion of an independent public accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form arenotrequiredto respond** SEC <sup>…Read the full text as markdown