Full text of FIDUS SECURITIES, LLC's X-17A-5 filed 2024-02-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PUBLIC {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-66656 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 12/31/2023 filing for the period beginning 01/01/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: FIDUS SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): □ Security-based swap dealer © 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.) 4201 CONGRESS STREET, SUITE 250 (No. and Street) 28209 NC CHARLOTTE (Zip Code) (State) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING 704-334-2222 pclark@fiduspartners.com Patrick C. Clark (Email Address) (Area Code - Telephone Number) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Plante & Moran, PLLC (Name - if individual, state last, first, and middle name) 60606 11 10 South Riverside Plaza, 9th Floor Chicago (State) (Zip Code) (Address) (City) 166 October 20, 2003 (PCAOB Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports be covered by the 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}------------------------------------------------ # OATH OR AFFIRMATION | 12/31 | 2 023 __ is true and correct. I further swear (or affirm) that neither the company nor any | | | | |-------|-----------------------------------------------------------------------------------------------------------------------------------------|--|--|--| | | | | | | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | | | | | as that of a customer. | | | | | | | | | | | | Sig…Read the full text as markdown