Full text of PENSERRA SECURITIES, LLC's X-17A-5 filed 2021-02-22 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PENSE RRA TRUST | PRECISION | INNOVATION Report of Independent Registered Public Accounting Firm and Financial Statements  ## SEC ID. NO, 8-67773 Year Ended December 31, 2020 PUBLIC DOCUMENT Filed pursuant to Rule 17a-5(e)(3) as a CONFIDENTIAL DOCUMENT {1}------------------------------------------------ | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number: 3235-0123 | |--------------------------------------------------------------------------|---------------------------------------------------------------------------|------------------------------------------------|---------------------------------------------------------| | | Washington, D.C. 20549 | | Expires:<br>August 31, 2020<br>Estimated average burden | | | | | hours per response 12 | | | ANNUAL AUDITED REPORT | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-67773 | | | PART III | | | | | FACING PAGE | | | | | 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 | 01/01/2020 | AND ENDING | 12/31/2020 | | | | A. REGISTRANT IDENTIFICATION | | | NAME OF BROKER-DEALER: PENSERRA SECURITIES LLC | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM I.D. NO. | | 4 ORINDA WAY SUITE 100-A | | | | | | | (No. and Street) | | | ORINDA | | CA | 94563 | | (City) | | (State) | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT: | | | | | GEORGE MADRIGAL | | | 925-594-5001 | | | | | (Area Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Moss Adams LLP | | | | | | (Name – | if individual, state last, first, middle name) | | | 101 Second Street | San Francisco | California | 94105 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | x<br>Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | UNITED STATES OMB APPROVAL 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 UMB control number. must be supported by a statement of facts and circumstances relied on as the basis for the…Read the full text as markdown