Full text of OBEX SECURITIES LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-65242 | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------------|-----------------|-----------------------------------------| | | 01/01/2023 | AND ENDING | 12/31/2023 | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | OBEX Securities LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer - Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | _ Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 290 Overlook Road | | | | | | | (No. and Street) | | | | | New Rochelle | | NY | | 10804 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Alice M Rooney | 914-833-1800 | | | arooney@obex.cor | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LMHS, P.C. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 80 Washington Street Build Norwell | | | MA | 02061 | | (Address)<br>2/24/2009 | (City) | | (State)<br>3373 | (Zip Code) | | | (PCAOB Registration Number, if applicable)<br>(Date of Registration with PCAOB)(if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent pub Claims for exchiption from the reya statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Crn 240.278-2(C)(L)(T), if upplicable contained in this form are not required to respond unless the form displays a currently valid OMB control num…Read the full text as markdown