Full text of GROTON SECURITIES LLC's X-17A-5 filed 2020-03-16 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## STATEMENT OF FINANCIAL CONDITION PURSUANT TO RULE 17a-5 UNDER THE SECURITIES EXCHANGE ACT OF 1934 DECEMBER 31, 2019 {1}------------------------------------------------ ### **UNITED STATES SECURITlES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | | 0MB APPROVAL | | |-------------|--------------------------|----------------------------| | 0MB Number. | | 3235-0123 | | | Expires: August 31, 2020 | | | | Estimated average burden | | | | | hours oer resoonse • 12.00 | | | | SEC FILE NUMBER | | | 8- | 65896 | #### **FACING PAGE** ### **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of1934 and Rule l7a-5 Thereunder** | REPORT FOR THE PERIOD BEGfNNING | -----------<br>1/1/2019 | AND ENDING | ----------<br>12/31/2019 | | |---------------------------------------------------------------------------------------------|-------------------------------------------------------|------------|---------------------------------------------|--| | | MM/DDNY | | MM/DDNY | | | | A. REGISTRANT IDENTJFICATION | | | | | NAME OF BROKER-DEALER: | | | | | | Groton Securities LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | | 151 Post Road | | | | | | {No. and Street) | | | | | Old Westbury | NY | | 11568 | | | (Ci1y) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT JN REGARD TO nus REPORT | | | | | | | | | | | | Kathy Efrem | | | 212-897-1686<br>(Area Code - Telephone No.) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | CNDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | | | Morison Cogen LLP | | | | | | (Name - if individual, state lost,first, middle name) | | | | | 484 Norristown Road, Suite 100 | Blue Bell | PA | 19422 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | [!) Certified Public Accountant | | | | | | 0 Public Accountant<br>0 Accountant not resident in United States or any of its possessions | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. I 7a-5(e)(2).* | SEC 1410 (06-02) | |------------------| |------------------…Read the full text as markdown