Full text of AGM SECURITIES LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | NITED STATES | |-------------------------------------| | SECURITIES A~ D EXCHANGE COMMISSION | | Washington, D.C. 20549 | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill | | 0 MB APPROVAL | |---------------------------|-----------------| | 0MB Number: | 3235-0123 | | Expires: August 31, 2020 | | | Estimated average burden | | | hours per response 12.00 | | | | SEC FILE NUMBER | | | | **8 . 66568** # FACING PAGE Info rmation Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Ruic 17a-5 Thereunder | 1/1/2019 | AND ENDING | -----------<br>12/31/2019 | | |-----------------------------------------------------------------------------------------|------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | ~11'1/DD'YY | | MM/DD/YY | | | | | | | | | | OFFICIAL USE ONLY | | | AGM Securities LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | (No and Streel) | | | | | New York | | 10006 | | | (State) | | (Zip Code) | | | | | | | | Howard Spindel<br>212-897 -1 688 | | | | | | | (Arca Code - Telephone No.) | | | | | | | | | | | | | WithumSmith + Brown, PC | | | | | | | | | | Whippany | NJ | 07981 | | | | (S1a1e) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (Cuy) | -------------<br>A. REGISTRANT IDENTIFICATION<br>39 Broadway, Suite 3300, Room 14<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT h REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>c:,.;ame - 1f111d11·1dun/, s/a/e /us/, firs/, m11ki/e 11U111~)<br>D Accountant not resident in United States or any of its possessions<br>FOR OFFICIAL liSE ONLY | | *\*Claims for exemplion from the requiremellf 1h01 the 01111110/ repor1 be covered by 1/,e opinion of an independenl public acco1111ta111 11111st be supported by a statemelll of facts and circ11111s1a11ces relied* 011 *as the basis/or the exemplion. See section* 240. *I 7a-5(e){2).* SEC 1410 {06-02) *Potential persons who are to respo…Read the full text as markdown