Full text of THE SECURITIES GROUP, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART III** | OMB Number: 3235-0123 | | |--------------------------|----| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | | | | | | SEC FILE NUMBER | |---------|-----------------| | 8-53635 | | **FACING PAGE** Information Required Pursuant to Rules <sup>17</sup>a-5,17a-12,and 18a-<sup>7</sup> under the Securities Exchange Act of <sup>1934</sup> | FILING FOR THE PERIOD BEGINNING | 01/01/21<br>/DD/YY<br>MM | AND ENDING | 12/31/21<br>MM/DD/YY | |----------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------|-------------------------------------------| | REGISTRANT IDENTIFICATION<br>A. | | | | | Securities<br>The<br>NAME OF FIRM: | LLC<br>Group, | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Ef<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | | Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | Hollow.<br>Suite<br>North<br>Quail<br>6465 | 400 | | | | | (No. and Street) | | | | Memphis | TN | | 38120 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Vincent<br>Michelle<br>Christie | 901-328-4814 | | mvincent@thesecuritiesgroup.com | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | B. | ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | PLLC<br>Watkins<br>Uiberall | | | | | (Name -if individual, state last,first, and middle name) | | | | | Drive,<br>Suite<br>Aaron<br>Brenner<br>1661 | Memphis<br>300 | TN | 38120 | | (Address) | (City) | (State) | (Zip Code) | | 11/02/2005 | | 1738 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,if applicable) | | FOR OFFICIAL USE ONLY<br>Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>* | | | | accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(l)(ii),if applicable. Persons who are torespond tothe collection…Read the full text as markdown