Full text of FIDUS SECURITIES, LLC's X-17A-5 filed 2025-02-24 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PUBLIC {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | DMB APPROVAL | |---------------------------| | 0148 Mumber: 3231-0123 | | Expires: Now. 30, 2026 | | Estimated everage burden | | 14<br>hours per response: | SEC FILE NUMBER 8-66656 ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | 11001100000001 1 1 00000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|--------------------------|--|--| | FILING FOR THE PERIOD BEGINNING | 01/01/2024 | 12/31/2024<br>AND ENDING | | | | | MM/DD/YT | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | FIDUS SECURITIES, LLC<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>J Major security-based swap participant<br>[ Security-based swap dealer<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 4201 CONGRESS ST. STE 250 | | | | | | (No. and Street) | | | | | | CHARLOTTE | NO | 28209 | | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | Patrick C. Clark | 704.334.2222 | oclark@fiduspartners.com | |------------------|--------------------------------|--------------------------| | (Name) | (Area Code - Telephone Number) | (Email Address) | #### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling® ## PLANTE & MORAN, PLLC | | ( Name - if individual, state last, first, and middle name) | | | |--------------------------------------------------|-------------------------------------------------------------|--------|--------------------------------------------| | 10 RIVERSIDE PLAZA, 9TH FLOOR CHICAGO | | | 60606 | | (Address) | (UTF) | IState | (Zip Code) | | OCTOBER 20, 2003 | | 165 | | | (Date of Registration with PCAOB)[if applicable) | | | (PCAOB Regi…Read the full text as markdown