Full text of GRIFFINEST ASIA SECURITIES, LLC's X-17A-5 filed 2023-05-22 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Griffinest Asia Securities, LLC Report Pursuant to Rule 17a-5 (d) Financial Statement For the Year Ended March 31, 2023** {1}------------------------------------------------ | | UNITED STATES | | | OMB APPROVAL | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------|------------------------------------------------------------|------------------|----------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | | OMB Number: 3235-0123 | | | Washington, D.C. 20549 | | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | 8-66571 | | | | PART III | | | | | | | | | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | AND ENDING 03/31/23<br>filing for the period beginning 04/01/22 | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Griffinest Asia Securities, LLC | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | Broker-dealer | | LJ Major security-based swap participant | | | | | L Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | | 3452 East Foothill Blvd, Suite 100 | | | | | | | | (No. and Street) | | | | | | Pasadena | | CA | | 91107 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | Katie Tai | | 626-792-1388 | | ktai@griffinasia.com | | | (Name) | (Email Address)<br>(Area Code - Telephone Number) | | | | | | | B. Accountant Identification | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | DCPA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1999 Avenue of the Stars #1100 Century City | | | California 90067 | | | | | | | | | | | (Address) | (City) | | (State) | (Zip Code) | | | 9/15/2020 | | 6567 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | FO…Read the full text as markdown