Full text of FTP SECURITIES LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **FTP Securities LLC** **Annual Audit Report** **December 31, 2021** **PUBLIC DOCUMENT** {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | | | | |---------------------------|--|--|--|--| | OMB Number: 3235-0123 | | | | | | Expires: Oct. 31, 2023 | | | | | | Estimated average burden | | | | | | hours per response:<br>12 | | | | | SEC FILE NUMBER # ANNUAL REPORTS FORM X-17A-5 PART III 8-66218 FACING PAGE 12 12 2 Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 01/01/21 | AND ENDING | 12/31/21 | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------------------|--------------------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | FTP Securities LLC<br>NAME OF FIRM: | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ച Security-based swap dealer<br>Broker-dealer<br>C Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 1 Front Street, 31st Floor | | | | | | | (No. and Street) | | | | | | San Francisco | California | 94111 | | | | | (City)<br>(State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Jeff Wong | (415) 992-8829 | | jeff.wong@ftpartners.com | | | | (Name) | | (Area Code - Telephone Number)<br>(Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | | Frnst Wintter & Associates LLP | | | | | | | (Name ~ if individual, state last, first, and middle name) | | | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 02/24/09 | | | 3438 | | | | (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 o…Read the full text as markdown