# IMC SECURITIES LLC X-17A-5/A (2024-06-28) — Broker-dealer annual report

- Company: IMC SECURITIES LLC
- Form: X-17A-5/A
- Filed: 2024-06-28
- Period: 2023-12-31
- Accession: 0001408672-24-000011
- CIK: 1408672
- File #: 8-67680
- Type: Broker-dealer
- Material weakness: No
- Auditor: PricewaterhouseCoopers, LLC
- Auditor location: Chicago, IL
- Contact: Paul Nowicki
- Phone: 3122047442
- Email: paul.nowicki@imc.com
- Website: imc.com
- Signed by: Paul Nowicki (CFO)

Original filing: https://www.sec.gov/Archives/edgar/data/1408672/000140867224000011/Public_Securities_2023.pdf

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# IMC Securities LLC

Statement of Financial Condition

December 31, 2023 Available for Public Inspection

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| UNITED STATES                      |
|------------------------------------|
| SECURITIES AND EXCHANGE COMMISSION |
| Washington, D.C. 20549             |

## ANNUAL REPORTS FORM X-17A-5 PART III

| OMB APPROVAL              |  |
|---------------------------|--|
| OMB Number: 3235-0123     |  |
| Expires: Nov. 30, 2026    |  |
| Estimated average burden  |  |
| 12<br>hours per response: |  |
|                           |  |

SEC FILE NUMBER 8-67680

## FACING PAGE

Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934

filing for the period beginning 01/01/2023

MM/DD/YY

AND ENDING 12/31/2023 MM/DD/YY

A. REGISTRANT IDENTIFICATION

NAME OF FIRM: IMC Securities LLC

TYPE OF REGISTRANT (check all applicable boxes):

 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.)

## 233 South Wacker Drive, #4300

|                                              | (No. and Street)                                                          |                      |  |
|----------------------------------------------|---------------------------------------------------------------------------|----------------------|--|
| Chicago                                      | Illinois                                                                  | 60606                |  |
| (City)                                       | (State)                                                                   | (Zip Code)           |  |
| PERSON TO CONTACT WITH REGARD TO THIS FILING |                                                                           |                      |  |
| Paul Nowicki                                 | (312) 204-7442                                                            | paul.nowicki@imc.com |  |
| (Name)                                       | (Area Code - Telephone Number)                                            | (Email Address)      |  |
|                                              | B. ACCOUNTANT IDENTIFICATION                                              |                      |  |
|                                              | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* |                      |  |

## PricewaterhouseCoopers, LLP

| (Name - if individual, state last, first, and middle name) |                       |     |          |                                            |  |  |
|------------------------------------------------------------|-----------------------|-----|----------|--------------------------------------------|--|--|
| One North Wacker Drive                                     | Chicago               |     | Illinois | 60606                                      |  |  |
| (Address)                                                  | (City)                |     | (State)  | (Zip Code)                                 |  |  |
| October 20, 2003                                           |                       | 238 |          |                                            |  |  |
| (Date of Registration with PCAOB)(if applicable)           |                       |     |          | (PCAOB Registration Number, if applicable) |  |  |
|                                                            | FOR OFFICIAL USE ONLY |     |          |                                            |  |  |
|                                                            |                       |     |          |                                            |  |  |
| * Claude Call Crime Comment on Society                     |                       |     |          |                                            |  |  |

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.

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## OATH OR AFFIRMATION

| Paul Nowicki |                                                               |  |  |  |  | , swear (or affirm) that, to the best of my knowledge and beliet, the |
|--------------|---------------------------------------------------------------|--|--|--|--|-----------------------------------------------------------------------|
|              | financial report pertaining to the firm of IMC Securities LLC |  |  |  |  | as of                                                                 |
| 17124        |                                                               |  |  |  |  |                                                                       |

, 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.

![](_page_2_Picture_3.jpeg)

Signature: Title:

Chief Financial Officer

## This filing\*\* contains (check all applicable boxes):

- (a) Statement of financial condition.
- (b) Notes to consolidated statement of financial condition.
- □ (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X).
- [ (d) Statement of cash flows.
- □ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity.
- □ (f) Statement of changes in liabilities subordinated to claims of creditors.
- □ (g) Notes to consolidated financial statements.
- [ (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable.
- □ (i) Computation of tangible net worth under 17 CFR 240.18a-2.
- [j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3.
- □ (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable.
- [ (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3.
- [ (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3.
- □ (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable.
- □ (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist.
- □ (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition.
- | (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable.
- □ (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- □ (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- □ (t) Independent public accountant's report based on an examination of the statement of financial condition.
- □ (u) Independent public accountant's report based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable.
- □ (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- □ (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- | (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.17a-12, as applicable.
- □ (y) Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k).
- □ (z) Other:
- \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18c-7(d)(2), as applicable.

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## IMC Securities LLC Index December 31, 2023

|                                                         | Page(s) |
|---------------------------------------------------------|---------|
| Report of Independent Registered Public Accounting Firm | 1       |
| Statement of Financial Condition                        |         |
| Statement of Financial Condition                        | 2       |
| Notes to Statement of Financial Condition               | 3-7     |

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![](_page_4_Picture_0.jpeg)

## **Report of Independent Registered Public Accounting Firm**

To the Board of Directors and Member of IMC Securities, LLC

## **Opinion on the Financial Statement – Statement of Financial Condition**

We have audited the accompanying statement of financial condition of IMC Securities, LLC(the "Company") as of December 31, 2023, including the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of December 31, 2023, in conformity with accounting principles generally accepted in the United States of America.

## **Basis for Opinion**

The financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audit of this financial statement in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud.

Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statement. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statement. We believe that our audit provides a reasonable basis for our opinion.

February 28, 2024

We have served as the Company's auditor since 2023.

PricewaterhouseCoopers LLP, One North Wacker, Chicago, IL 60606 T: (312) 298 2000, www.pwc.com/us

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| 1)*131;1-:)5,-4*-9:)71;)3                                                                             |                  |
| "5-.585@51?                                                                                           |                  |
| (1/A>5@51??;80:;@E1@<A>/4-?10-@2-5>B-8A1                                                              |                  |
| &-E-.81@;/81->5:3.>;71>                                                                               |                  |
| &-E-.81@;-22585-@1?                                                                                   |                  |
| '534@;2*?1"5-.585@51?	%<1>-@5:3                                                                       |                  |
| //;A:@?<-E-.81-:0-//>A101D<1:?1?                                                                      |                  |
| );@-885-.585@51?                                                                                      |                  |
| #19.1>?/-<5@-8                                                                                        |                  |
| );@-885-.585@51?-:0919.1>?/-<5@-8                                                                     |                  |

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{8}------------------------------------------------

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|                                                                                                            | -91=);1=-<br>::-;: |          | -91=);1=-<br>1)*131;1-: |          | <4*-96.<br>65;9)+;: |
|------------------------------------------------------------------------------------------------------------|--------------------|----------|-------------------------|----------|---------------------|
| %<@5;:?                                                                                                    |                    | <br>     |                         |          |                     |
| A@A>1?                                                                                                     |                    |          |                         |          |                     |
| >;??2-5>B-8A1;201>5B-@5B1/;:@>-/@?                                                                         |                    | <br><br> |                         | <br><br> |                     |
| \$1@01>5B-@5B1/;:@>-/@?<>1?1:@105:@41<br>?@-@191:@;225:-:/5-8/;:05@5;:<br>9;A:@?@4-@4-B1:;@.11:;22?1@5:@41 |                    |          |                         |          |                     |
| ?@-@191:@;225:-:/5-8/;:05@5;:<br>                                                                          |                    |          |                         |          |                     |
| \$1@D<;?A>1                                                                                                |                    | <br>     |                         | <br>     |                     |

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{9}------------------------------------------------

## IMC Securities LLC Notes to Statement of Financial Condition December 31, 2023

The cash balances held at various major U.S. financial institutions, which typically exceed Federal Deposit Insurance coverage, also subject the Company to a concentration of credit risk. The Company attempts with the deposits in excess of insured amounts by regularly monitoring the credit ratings of such financial institutions.

Legal, lax and regulatory changes could occur during the Company that may adversely affect the Company. As a registered brokerdealer and a registered market maker , the Comprehensive statules , regulations and other requirements. The effect of any future regulatory change or other regulator or self-regulator organization, whether in the ordinary course or the result of an extraordinary market event, could be significant.

#### 5. Leases

The Company has an operating lease for certain office space under a noncancelable lease expiring in 2024. The Company's lease has a remaining lease term of three months.

The Company determines if an arrangement is an operating lease at inception. Leases with an initial term of 12 months or less are not recorded on the statement of financial condition. All other operating leases are recorded on the sight-ofuse assets representing the right to use the underlying asset for the lease liability representing the obligation to make lease payments arising from the lease. Right-of-use assets and lease liabilities are recognized at the commencement date based on the present value of lease payments over the lease term and include options to extend or terminate the lease when they are reasonably certain to be exercised. The right-of-use assets represent the lease liabilities, plus any lease payments made , less any lease incentives received. If a lease does not provide an implicit rate, the Company uses its increment secured borrowing rate, adjusted for the maturity date, based on information available at the commencement date in determining the present value of lease agreements with lease and non-lease components are accounted for as a single lease component.

During the year, the Company did not enter into any new leases. On December 31, 2023, right-of-use assets and lease liabilities were \$25,774 and \$27,905, respectively, represent value of future lease payments with initial terms greater than 12 months related to an office rent lease.

|                                                     |   | Right of Use<br>Assets<br>Operating |  | Right of Use<br>Liabilities<br>Operating |  |
|-----------------------------------------------------|---|-------------------------------------|--|------------------------------------------|--|
| Beginning balance December 31, 2022<br>Amortization | ಕ | 130.952<br>(105,178)                |  | 138,538<br>(110,633)                     |  |
| Ending balance December 31, 2023                    |   | 25.774                              |  | 27.905                                   |  |

Future minimum lease payments as of December 31, 2023 are as follows:

| Year ending December 31, 2023      |   | Office<br>Leases |    | Total  |  |
|------------------------------------|---|------------------|----|--------|--|
| 2024                               | ക | 31,682           | ಕ್ | 31,682 |  |
| 2025                               |   |                  |    |        |  |
| 2026                               |   |                  |    |        |  |
| 2027                               |   |                  |    |        |  |
| 2028                               |   |                  |    |        |  |
| Thereafter                         |   |                  |    |        |  |
| Total lease payments               |   | 31,682 \$        |    | 31,682 |  |
| Less: Interest                     |   | 3,777            |    | 3.777  |  |
| Present value of lease liabilities |   | 27,905           | ക  | 27,905 |  |
|                                    |   |                  |    |        |  |

The weighted average remaining lease term and discount rate as of December 31, 2023 were as follows:

| Weighted average remaining lease term (years) - Operating leases |       |
|------------------------------------------------------------------|-------|
| Weighted average discount rate - Operating leases                | 2.50% |

#### 6. Contingent Liabilities

In the normal course of business, the Company may enter into contracts that contain a number of representations and warranties which may provide for general or specific indemnifications. The Company's exposure under these contracts are not currently known as any such exposure would be based on future claims which could be made been no such daims since the inception of the Company. Management does not anticipate any such claims and expects any risk of loss to be remote. As such, the Company believes the amount for which it could be liable, if any, will not have a material adverse effect on the statement of financial condition.

#### 7. Brokerage, Clearance, and Exchange Fees

At December 31, 2023, the amounts due from / to counterparties in relation to Brokerage, Clearance, and Exchange Fees, recorded net by counterparty, were \$90,252 in other assets and \$454,453 in accounts payable and accrued expenses on the station.

{10}------------------------------------------------

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