Full text of FTP SECURITIES LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Annual Audit Report** **December 31, 2020** ## **PUBLIC DOCUMENT** {1}------------------------------------------------ ## **UNITED STATES** **SECURITIES AND EXCHANGE COMMISSION** OMB Number: 3235-0123 **Washington, D.C. 20549** Expires: October 31, 2023 # **ANNUAL AUDITED REPORT** hours per response……12.00 **FORM X-17A-5 PART III** **FACING PAGE 8-66218** **Information required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01/01/20<br>mm/dd/yy | AND ENDING | | 12/31/20<br>mm/dd/yy | |-------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|---------------------|---------------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER:<br>FTP Securities LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | OFFICIAL USE ONLY<br>_________________<br>FIRM I.D. NO. | | 1 Front Street, 31st Floor | | | | | | | (No. and Street) | | | | | San Francisco<br>(City) | California<br>(State) | | 94111<br>(Zip Code) | | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Jeffrey R. Wong | | | | 415-992-8829 | | | | | | (Area Code – Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Ernst Wintter & Associates LLP | | | | | | | (Name – if individual, state last, first, middle name) | | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | | (Address) | (City) | (Sate) | (Zip Code) | | | CHECK ONE: | | | | | | ;<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*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 240.17a-5(e)(2).* > **Potential 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 OMB control number.** SEC 1410 (11-05) Es…Read the full text as markdown