Full text of AGM SECURITIES LLC's X-17A-5 filed 2023-03-06 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ STATEMENT OF FINANCIAL CONDffiON AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 3 l, 2022 {1}------------------------------------------------ | UNITED ST A TES | | | 0MB APPROVAL | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------|-----------------------------------------|-----------------|----------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | | | 0MB Number: 3235-0123 | | | Washington, O.C. 20549 | | | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | | hours per response: 12 | | | ANNUAL | | | SEC FILE NUMER | | | | | REPORTS | | | | 8-<br>66568 | | | | | | FORM X-17A-5 | | | | | | | | PARTID | | | | | | | | | | | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | FILING FOR THE PERIOD BEGINNING O 1/01 /22 | | | AND ENDING 12/31/22 | | | | | | | MM/DD/YY | | | MMIDDNY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | NAME OF FIRM: AGM Securities LLC | | | | | | | | TYPE OF REGISTRANT (check aJJ applicable boxes): | | | | | | | | ~ Broker-dealer | D Security-based swap dealer | | D Major security-based swap participant | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | ADDRESS OF PRTNClPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 42 Broadway, Suite 12-129 | | | | | | | | | | (No. and Street) | | | | | | New York | | NY | | | 10004 | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Howard Spindel | | (212) 897-1688 | | | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | WithumSmith + Brown, PC | | | | | | | | | (Name - if individual, state last. first. and middle name) | | | | | | | | | | | | 07981-1070 | | | 200 Jefferson Park Suite 400 | | Whippany | NJ | | | | | (Address) | (City) | | (State) | | (Zip Co…Read the full text as markdown