Full text of GFG SECURITIES, LLC's X-17A-5 filed 2021-02-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-66606 **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** REPORT FOR THE PERIOD BEGINNING \_\_ o\_1\_I\_0\_1\_12\_o \_\_\_\_ AND ENDING \_\_ 1\_2\_/\_3\_1\_/2\_0 \_\_\_\_ \_ MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: GFG SECURITIES, LLC ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 701 BRICKELL AVE, SUITE 1400 MIAMI (City) (No. and Street) FL (State) MM/DD/YY OFFICIAL USE ONLY FIRM 1.D. NO. 33131 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT KEN GEORGE (603) 380-5435 (Area Code - Telephone Number) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report\* KABAT, SCHERTZER, DE LA TORRE, TARABOULOS & CO. (Name - *if individual, state last, first, middle name)* 9300 S. DADELAND BLVD #600 MIAMI FL 33156 (Address) (City) (State) (Zip Code) **CHECK ONE:** I Certified Public Accountant BPublic Accountant Accountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY** *\*Claims for exemption.fi'01n the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5 (e)(2)* > **Potential 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 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | 1,<br>E<br>D<br>U<br>A<br>R<br>D<br>O<br>G<br>R<br>U<br>E<br>N<br>E<br>R<br>A<br>N<br>D<br>M<br>A<br>U<br>R<br>IC<br>IO<br>G<br>R<br>U<br>E<br>N<br>E | R<br>(o<br>af<br>fi<br>)<br>th<br>th<br>be<br>f<br>at<br>, t<br>st<br>, s<br>w<br>ea<br>r<br>r<br>rm<br>o<br>e<br>o | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown