Full text of XML SECURITIES, LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). 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 Ill** | 0MB APPROVAL | | | | |--------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response: 12 | | | | #### SEC FILE NUMBER 8- 67776 **FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** 1/1/2022 12/31/2022 FILING FOR THE PERIOD BEGINNING \_\_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_\_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **\_\_\_\_\_\_ X\_M\_L\_S\_ec\_u\_r\_it\_i\_es\_,\_L\_L\_c \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_** TYPE OF REGISTRANT (check all applicable boxes): IXl Broker-dealer D Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 7600 Leesburg **Pike,** Suite 120 East Falls Church (City) (No. and Street) **VA** (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Jennifer L. Szaro 703-827-2300 22043 (Zip Code) (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* **Wolf** & **Company, P.C.** 225 State Street (Address) 10/14/2003 (Name - if individual, state last, first, and middle name) Boston (City) 392 **MA** (State) 02109 (Zip Code) jDate of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONL V** \* 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-S(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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** 1, Robert Kantor swear {or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of XML Securities, LLC as of December 31 2 022 is true and correct. I further swear {or affirm) that neither the company nor any partner, offj…Read the full text as markdown