Full text of ERG SECURITIES (US) LLC's X-17A-5 filed 2024-02-12 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-65376 ## **ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** AND ENDING **12/31/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: ERG Securities (US) LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer □ 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.) ## 50 Washington St., Suite 921 | | (No. and Street) | | | | | | |-------------------------------------------------------------------------------------------------------|------------------------------------------------|-----------------|---------------------------|--|--|--| | Norwalk | CT | | 06854 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Kimberly Ryan | 248-224-8713 | | kryan@compliance-risk.com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>David Lundgren & Company | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 505 North Mur-Len Road | Olathe | KS | 66062 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 01/05/2015 | | 6075 | | | | | | | I<br>(PCAOB R,g;st,atio" N,mbec, ;f applkable) | | | | | | **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, George O'Dowd | | | | | | | | swear (or affirm) that, to the best of my knowledge…Read the full text as markdown