Full text of CANDLEWOOD SECURITIES, LLC's X-17A-5 filed 2022-04-12 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **CANDLEWOOD SECURITIES LLC** . FINANCIAL STATEMENTS YEAR ENDED DECEMBER 31, 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER **I** | | FACING PAGE<br>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 /Q 1 /2021<br>12/31/2021 | | | | | | | | MM/00/YY | AND ENDING | MM/00/YY | | | | A.<br>REGISTRANT IDENTIFICATION | | | | | | | NAME oF FIRM: Candlewood Securities LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Major security-based swap participant<br>� Broker-dealer<br>□ Security-based swap dealer<br>0 Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 600 Superior Ave. E., Suite 1800 | | | | | | | | (No. and Street) | | | | | | Cleveland | Ohio | | 44114 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Stephen Latkovic | 216-472-6642 | | sjl@candlewoodpartners.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Marcum LLP | | | | | | | | (Name if individual, state last, first, and middle name) | | | | | | Nine Parkway North, Suite 200 Deetfield | | IL | 60015 | | | | (Address) | (City) | (State) | (Zip Code) | | | | l"<br>of Reg;stcaUoo wnh PCAOB)(if apphcable) | FOR OFFICIAL USE ONLY | | (PCAOB Reg;stcaUoo N"mbec, if a pplkable) | | | | * 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 r…Read the full text as markdown