Full text of TZERO SECURITIES, LLC's X-17A-5 filed 2024-05-15 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **tZERO SECURITIES, LLC STATEMENT OF FINANCIAL CONDITION PURSUANT TO RULE 17a**-**5 UNDER THE SECURITIES AND EXCHANGE ACT OF 1934** **AS OF DECEMBER 31, 2023 INCLUDING REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** {1}------------------------------------------------ ### 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 8-65585 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 | 01/01/23 | AND FNDING | 12/31/23 | | |---------------------------------|----------|------------|----------|--| | | MM/DD/YY | | MM/DD/YY | | ## A. REGISTRANT IDENTIFICATION NAME OF FIRM: tZERO Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 🇿 Broker-dealer □ Security-based swap dealer □ Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 30 Montgomery Street, Suite 330 | | | | | | | | |---------------------------------------------------------------------------|--------------------------------|--------------------------------------------|------------|--|--|--|--| | (No. and Street) | | | | | | | | | Jersey City | NI | 07302 | | | | | | | (City) | (State) | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Erin Dudek | (855) 421-0638 | edudek@tzero.com | | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Baker Tilly US, LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | One Penn Plaza - Suite 3000 | New York | NY | 10119 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 10/22/2003 | | | 23 | | | | | | (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 ex…Read the full text as markdown