Full text of GRIFFINEST ASIA SECURITIES, LLC's X-17A-5 filed 2026-05-29 (period 2026-03-31). 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, 202 # CONFIDENTIAL DOCUMENT This report is filed in accordance with rule 17a-5(e)(3) Under the Securities Exchange Act of 1934 as a PUBLIC document. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAI OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III sec file number 8-66571 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 filing for the period beginning 04/01/25 MM/DD/YY AND ENDING 03/31/26 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: GRIFFINEST ASIA SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): 🇿 Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 301 NORTH LAKE AVENUE SUITE 110 | | (No. and Street) | | |-----------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------| | PASADENA, | CA | 91101 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Katie Tai | 626-792-1388 | ktai@griffinasia.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>DCPA | | | | | (Name - if individual, state last, first, and middle name) | | | 2121 Avenue of the Stars #800 Century City | | California 90067 | | (Address) | (City) | (State)<br>(Zip Code) | | 9/15/2020 | | 6567 | | (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 of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ ### OA…Read the full text as markdown