Full text of THE SECURITIES GROUP, LLC's X-17A-5 filed 2023-03-31 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES OMB APPROVAL OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31. 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-53635 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 \_ AND ENDING\_12/31/22 FILING FOR THE PERIOD BEGINNING 01/01/22 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: The Securities Group, LLC d/b/a Mammoth Research, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer O Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 9121 Illinois Road, Suite 51B (No. and Street) Fort Wayne IN 46804 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Susan Hayes (609) 642-6593 susan.hayes@mammothresearch.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Watkins Uiberall, PLLC (Name - if individual, state last, first, and middle name) 1661 Aaron Brenner Drive, Suite 300 Memphis TN 38120 (Address) (City) (State) (Zip Code) 11/02/05 1738 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. 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}------------------------------------------------ #### OATH OR AFFIRMATION I. Thomas Martin swear -----------------------------------------------------------------------------------------------------------------------------------------------------------------------financial report pertaining to the firm of The Securities Group, LLC dibla Mammoth Research, LLC , as of 12/31 2 022 is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of…Read the full text as markdown