Full text of AGM 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}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2020 {1}------------------------------------------------ UNlTED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | 0MB APPROVAL<br>0MB Number: | | 3235-0123 | | |-----------------------------|---------------------------|--------------------------|--| | | Expires: October 31, 2023 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER | | | | 8- | 66568 | | ## **FACING PAGE** Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | ------------<br>MM/DO /YY<br>A. REGISTRANT IDENTIFICATION<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>42 Broadway, Suite 12-129<br>(No. and Street)<br>New York<br>(State) | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT fN REGARD TO THIS REPORT | -----------<br>MMJDO/YY<br>OFFICIAL USE ONLY<br>FIRM ID. NO.<br>10004<br>(Zip Code) | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 212-897-1688 | | | | | (Area Code -- Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | Whippany | NJ | 07981 | | | | (State) | (Zip Code) | | | | | | | | | | | | | | WithumSmith + Brown, PC<br>(City)<br>D Accountant not resident in United States or any of its possessions | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - i( indil'id11al, stale las 1. firs,, middle name)<br>FOR OFFICIAL USE ONLY | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public acco1111ta11t must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. I 7aa5(e)(…Read the full text as markdown