Full text of PORTICO CAPITAL SECURITIES LLC's X-17A-5 filed 2021-04-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STA TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20S49 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average bwden hours DCr. • • , 12.00 > SEC FILE NUMBER ~65826 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III ### FACING PAGE Information Reqllind of Broken ud DNlen Pvnwmt to Section 17 of the Securitiea Eseb qe Ad of 1934 and R•le **11a-S** Tbereunder | REPORT FOR lHE PERIOD BEGINNING ---~0u.lul0~ll2~02:0"--- | | AND ENDING | ___<br>__<br>J 213~1.ua 02,o__ | | |---------------------------------------------------------------------------|--------------------------------------------------|------------|---------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | . --<br>- | . A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER -<br>DEALER: | Portico Capital Securities LLC | | | | | | | | OFFICIAL USE ONLY | | | | | | FIRMID.NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | ___________________<br>.:.3S~Muoo~=S~tree=t.~4"'-.:Fl::::oo=r__ | | ___ ._. -· | | | | (No. and Street) | | | | | | Greenwich, CT 06830<br>(City) | | | | | | (State) | | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | KenQeom | | | | | | | | | e<br>(Area Code - | | | | B. ACCOUNTANT IDENTIFICATION | | | | | -------------------··· | · | | ----------------------- | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | | RSMUSLLP | | | | | | (Name - | if individual. lbltc last, fll'llt, middle name) | | | | | | | | | | | 4 Thng Sgyan;. 151 W 42nd Street, 1~ Floor. New York. NY 10036 | | | | | | (City)<br>(Address) | | (State) | (Zip Code) | | | | | | | | | [!] Certified Public Accountant | | | | | | D<br>Public Accountant | | | | | | D A~tant<br>not resident in UnJted States or any of its posseuions. | | | | | | CHECKONE: | FOR OFFICIAL USE ONLY | | | | *-Clolnufo,* ,,,,,,,,,.,,, **fi'-** *dw* **l'f#lll/lw-111** *tlt/lJ dw* **tlllllllOI r,po,t Z- cownd** *by tlw* **apllllOn** *o/* **1M** */JldttpeflMffl* ptlbllc *--.t* \_., **h** *~by"~ o/foe#..J~ rwlW* °" *t11* **ti.** *bt:u~/r,rdw* ......,, .... **Sn a«tfoll** *240.17t,-S(w){2).* SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** 1, Richard Northrop, swear (or affinn) that, to the best of my knowledge and belief the accompanying financial statements and supporting sche…Read the full text as markdown