Full text of OCEANUS SECURITIES, LLC's X-17A-5 filed 2023-07-14 (period 2023-03-31). 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 REPORTS FORM X-17A-5 PART III | OMB Number: 3235-0123 | | | | |--------------------------|--|--|--| | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | nours per response: 12 | | | | | | | | | | SEC FILE NI IMBER | | | | 8-66772 OMB APPROVAL | FACING PAGE | | |-----------------------------------------------------------------------------------------------------------|--| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | AND ENDING 03/31/2023 FILING FOR THE PERIOD BEGINNING 04/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: OCEANUS SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | | Security-based swap dealer | | Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 521 5th Avenue, Suite 822/37th Fl | | (No. and Street) | | | |---------------------------------------------------------------------------|------------------------------------------------------------|-----------------------|------------| | NEW YORK | NY | | 10175 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Nitin Gambhir<br>212-509-5601 | | niting@oceanussec.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Ohab and Company, P.A. | | | | | | (Name - if individual, state last, first, and middle name) | | | | 100 E. Sybelia Avenue | Maitland | ﻠﯩ | 32751 | | (Addrace) | (City) | (Stato) | (7in Code) | 7/28/2004 1839 (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. {1}------------------------------------------------ #### OATH OR AFFIRMATION |…Read the full text as markdown