Full text of GFG SECURITIES, LLC's X-17A-5/A filed 2021-03-12 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES 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 **B-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 \_ \_ 0\_1 **/\_0\_1\_/\_2\_0 \_\_\_\_** AND ENDING \_\_ 1\_2\_/\_3\_1\_/2\_0 \_\_\_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: GFG SECURITIES, LLC OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) FIRM I.D. NO. 701 BRICKELL AVE, SUITE 1400 (No. and Street) MIAMI FL 33131 (City) (State) (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 *I* !certified Public Accountant B Public Accountant Accountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY** *\*Claims for exemption from 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/or the exemption. See Section 240.17a-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** | | I, EDUARDO GRUENER AND MAURICIO GRUENER | | , swear ( or affirm) that, to the best of | |-------|----------------------------------------------------------------------------------------------------------|-----------|------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | GFG SECURITIES, LLC | | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of…Read the full text as markdown