# HUNTWICKE SECURITIES, LLC X-17A-5 (2024-09-23) — Broker-dealer annual report - Company: HUNTWICKE SECURITIES, LLC - Form: X-17A-5 - Filed: 2024-09-23 - Period: 2024-06-30 - Accession: 0001431144-24-000006 - CIK: 1431144 - File #: 8-67865 - Type: Broker-dealer - Material weakness: No - Auditor: Larry Liberfarb - Auditor location: TOPSFIELD, MA - Contact: Fernando Garcia - Phone: 9788875981 - Email: info@liberfarb.com - Website: liberfarb.com - Signed by: Brian Woodland (Member-President) Original filing: https://www.sec.gov/Archives/edgar/data/1431144/000143114424000006/form17aforupload.pdf --- {0}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCIHANGE COMMISSION Washington-, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235~0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **FACII\IG PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 07/01/23 | --------- | AND ENDING 06/30/24 | ---------- | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|--------------------------|------------| | | MM/DD/ VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME' OF FIRM: HUNTWICKE SECURITIES LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):
G Broker-dealer
O Security-based swap dealer
□ Major security-based swap participant
0 Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 7 GROVE STREET. SUITE 201 | | | | | | (No. and Street) | | | | TOPSFIELD | | MA | 01983 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | BRIAN WOODLAND | 978-887-5981 | BWOODLAND@HUNTWICKE. COM | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | LARRY D. LIBERFARB. PC | | | | | (Name - if individual, state last, first, and middle name) | | | | | 11 VANDERBILT AVENUE# 220 | NORWOOD | MA | 02062 | | (Address) | (City) | (State) | (Zip Code) | | 1/10/2006 | | 2560 | | | | | | | | FOR OFFICIAL USE ONLY | | | | | * 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 cir-cumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(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, Brian Woodland | swear (or affirm) that, to the best of my knowledge and belief, the | | |----------------------------------------------------------------------|---------------------------------------------------------------------|-------| | financial report pertaining to the firm of Huntwicke Securities, LLC | | as of | 6/30 2~ 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 that of a customer. ~**FERNANDO GARCIA** W Notary Public Commonwealth at Massachusetts **My** Commission Expires 08/07/2031 ~ Titl . Member **/On,.'d,riv .** # **This filing\*\* contains (check all applicable boxes):** - iii (a) Statement of financial condition. - D (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). - Iii (d) Statement of cash flows. - ~ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - D (f} Statement of changes in liabilities subordinated to claims of creditors. - Iii (g) Notes to consolidated financia l statements. - Iii (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - D (i) Computation of tangible net worth under 17 CFR 240.18a-2. - D U) Computation for determination of customer reserve req uirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - D (kl 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. - D (I) Computation for Determination of PAB Requirements under Exhibit A to§ 240.15c3-3. - Iii (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - D (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. - Iii (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. - D (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - Iii (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. - D (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - Iii (s} Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - D (t} Independent public accountant's report based on an examination of the statement of financial condition. - Iii (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. - D (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. - **!!i!i** (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. - **!!i!i (x)** Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable. - D (y) Report describing any material inadequaeies 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). D (z) Other: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e}(3} or 17 CFR 240.18a-7(d)(2}, as applicable. {2}------------------------------------------------ # FINANCIAL STATEMENTS # JUNE 30, 2024 {3}------------------------------------------------ # LARRY D. LIBERFARB, P.C. ### CERTIFIED PUBLIC ACCOUNTANTS AND FI ANCIAL ADVISORS 11 Vanderbilt Avenue, Suite 220, Norwood, Massachusetts 02062 Tel. (781) 255-8800 Fax (781) 255-9217 E-Mail: Info@Liberfarb.com # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Sole Member of Huntwicke Securities LLC # **Opinion on the Financial Statements** We have audited the accompanying statement of financial condition of Huntwicke Securities LLC as of June 30, 2024, the related statements of income, changes in member's equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of Huntwicke Securities LLC as of June 30, 2024, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. # **Basis for Opinion** These financial statements are the responsibility of Huntwicke Securities LLC's management. Our responsibility is to express an opinion on Huntwicke Securities LLC's financial statements 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 Huntwicke Securities LLC 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 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 statements are 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 statements, 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 statements. 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 statements. We believe that our audit provides a reasonable basis for our opinion. ### **Auditor's Report on Supplemental Information** The computation of aggregate indebtedness and net capital pursuant to SEC Rule 15c3-1 and computation for determination of reserve and information relating to possession and control requirements for broker dealers under Rule 15c3-3 of the Securities and Exchange Commission has been subjected to audit procedures performed in conjunction with the audit of Huntwicke Securities LLC's financial statements. The supplemental information is the responsibility of Huntwicke Securities LLC's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the {4}------------------------------------------------ supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In our opinion, the computation of aggregate indebtedness and net capital pursuant to SEC 'Rule 15c3-1 and computation for determination of reserve and information relating to possession and control requirements for broker dealers under Rule 15c3-3 of the Securities and Exchange Commission is fairly stated, in all material respects, in relation to the financial statements as a whole. *I*fJc-, ve served as Huntwicke Securities LLC's auditor since 2009. ' Norwood, Massachusetts September 20, 2024 {5}------------------------------------------------ # **STATEMENT OF FINANCIAL CONDITION** # **June 30, 2024** # **ASSETS** | Cash | \$
187,955 | |----------------------------------------------------|---------------| | Securities Owned: | | | Money market mutual fund, trading, at market value | 1,047 | | Cash at broker | | | Private placement fees receivable | 311,264 | | Prepaid expenses | 18,771 | | | \$
519,037 | # **LIABILITIES AND MEMBER'S EQUITY** Liabilities: | Commissions payable
Due to affiliates | \$
286,951
2,780 | |------------------------------------------|------------------------| | | 289,731 | | Member's Equity • | | | •
Member's capital | 229,306 | | | \$
519,037 | {6}------------------------------------------------ # **STATEMENT OF INCOME** # **FOR THE YEAR ENDED June 30, 2024** | Revenues: | | |------------------------------------|---------------| | Private placement revenue | \$ 2,111,820 | | Interest and dividends | 3,769 | | Expense reimbursement | 40,453 | | | 2,156,042 | | | | | Expenses: | | | Commission expense | 1,896,949 | | Communications and data processing | 5,414 | | Occupancy | 24,766 | | Professional fees | 50,250 | | Salaries and payroll taxes | 29,711 | | Other expenses | 40,461 | | | 2,047,551 | | | | | Net income | 108,491
\$ | {7}------------------------------------------------ # **STATEMENT OF CHANGES IN MEMBER'S EQUITY** # **FOR THE YEAR ENDED June 30, 2024** | Balance at beginning of the year | \$
335,815 | |----------------------------------|---------------| | Net income | 108,491 | | Distributions | (215,000) | | Balance at end of the year | \$
229,306 | {8}------------------------------------------------ # **STATEMENT OF CASH FLOWS .** # **FOR THE YEAR ENDED June 30, 2024** | Cash flows from operating activities: | | |-----------------------------------------------|---------------| | Net income | \$
108,491 | | Adjustments to reconcile net income | | | to net cash from operating activities: | | | Depreciation | 1,975 | | Decrease (increase) in operating assets: | | | Decrease in private placement fees receivable | 90,575 | | Decrease in prepaid expenses | 1,005 | | Decrease in marketable securities | 245,211 | | (Decrease) increase in operating liabilities: | | | Decrease in commissions payable | (85,374) | | Decrease in due to affiliate | (56) | | Net cash provided by operating activities | 361,827 | | Cash flows used for financing activities: | | | Capital withdrawals | (215,000) | | | | | Decrease in cash | 146,827 | | Cash at beginning of the year | 41,128 | | Cash at end of the year | \$
187,955 | | | | | | | | . Supplemental cash flow disclosures: | | | futerest payments | \$
0 | | fucome tax payments | \$
0 | {9}------------------------------------------------ # **NOTES TO FINANCIAL STATEMENTS** # **JUNE 30, 2024** # **NOTE 1- SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES** # Organiz.ation and Nature of Business The Company is a broker-dealer registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority, Inc.(FINRA). # Marketable/Non-Marketable Securities Marketable securities are valued at market value. Cost is determined on the specific identification method. # Income Taxes The Company does not record a provision for income taxes because the sole member reports the LLC's income or loss on their income tax return. The financial statements reflect the LLC's transactions without adjustment, if any, required for income tax purposes. # Revenue Reco\_gnition Revenue is recorded in compliance with ASC Topic 606, Revenue from Contracts with Customers ("ASC Topic 606"). Revenue recognition guidance requires that an entity recognize revenue to depict the transfer of promised goods or services to customers in an amount that reflects the consideration to which the entity expects to be entitled in exchange for those goods or services. The Company books revenue from private placement transactions, based on a percentage of funds raised, on the date when the performance obligation is completed. The Company books revenue from introduction transactions, based on a percentage of funds raised, upon completion of a transaction between two introduced parties. The Company earns compensation only when the transaction is completed. # Private placement fees receivable The company has not provided an allowance for doubtful accounts because management believes all amounts are collectable. {10}------------------------------------------------ # **NOTES TO FINANCIAL STATEMENTS, CONTINUED** # **JUNE .30, 2024** #### **NOTE 1- SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (continued)** # Statement of Cash Flows For purposes of the statement of cash· flows, the Company has defined cash equivalents as highly liquid investments, with original maturities of less than ninety days that are not held for sale in the ordinary cour,se Qf h/#-Sm;!;:s§. # Advertisin:~ The Company expenses advertising and promotion costs as incurred. # Use of Estimates ' The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America, requires management to make estimates and assumptions that affect the amounts reported in these financial statements and accompanying notes. Actual results could differ from these estimates. # **NOTE 2- NET CAPITAL** The Company is subject to the Securities and Exchange Commission Uniform Net Capital Rule (SEC Rule 15c3-1), which requires the maintenance of minimum net capital, and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 15 to 1. At June 30, 2024 the Company had net capital of \$186,201 which was \$166,886 in excess of its required net capital of \$19,315. The Company's net capital ratio was 1.56 to 1 # **NOTE3- RELATED PARTY TRANSACTIONS** The Company has an expense sharing agreement with related parties Huntwicke Capital Group, Inc. Expenses include all costs for which the Company derives a benefit including salaries, rent, telephone, copy services, etc. The Company reimbursed the related parties for those expenses. For the fiscal year these expenses totaled \$40,678. At June 30, 2024, the Company owed \$2,780 to this entity. {11}------------------------------------------------ # **NOTES TO FINANCIAL STATEMENTS, CONTINUED** # **JUNE 30, 2024** #### **NOTE3- RELATED PARTY TRANSACTIONS ( continued)** The Company rents office space (included in the expense sharing agreement) from Huntwicke Financial, Inc., partic1lly owned by the managing member, as a tenant at will. The Company paid the related party \$21,150 for rent for the year ending June 30, 2024. The Company made distributions of \$215,000 to its sole owner, Huntwicke Financial, Inc. for the fiscal year ending June 30, 2024. Since these entities are under common control, operating results or financial position of the Company could differ significantly from those that would have been obtained if the entities were autonomous. # **NOTE4- LEASE** The Company has elected, for all underlying classes of assets, to not recognize ROU assets and lease liabilities for short-term leases that have a lease term of 12 months or less at lease commencement. # **NOTE 5- CONCENTRATIONS OF CREDIT RISK** The Company derived 100% of their revenue from six clients. The Company at times maintains cash in bank accounts in excess of the established limit insured by the Federal Deposit Insurance Corporation (FDIC). # **NOTE 6 - COMMITMENTS AND CONTINGENCIES** The company at June 30, 2024 has no unfulfilled contracts, commitments or contingencies # **NOTES-SUBSEQUENT EVENTS** Management has evaluated subsequent events through September 20, 2024, the date on which the financial statements were available to be issued and determined that no further information is required to be disclosed. {12}------------------------------------------------ # SUPPLEMENTARY SCHEDULES JUNE 30, 2024 {13}------------------------------------------------ # **SCHEDULE I** # **HUNTWICKE SECURITIES LLC** # **COMPUTATION OF AGGREGATE INDEBTEDNESS AND NET CAPITAL PURSUANT TO RULE 15c3-1** # **June 30, 2024** | Aggregate Indebtedness: | | | |-----------------------------------------------------------|---------------------|---------------| | Commissions payable | \$ 286,951 | | | Due to affiliates | 2,780
\$ 289,731 | | | Net Capital: | | | | Member's equity | | 229,306
\$ | | Adjustments to net capital: | | | | Private placement fees receivable | | (311,264) | | Receivable -offset | | 286,951 | | Prepaid expenses | | (18,771) | | Haircuts and undue concentration | | (21) | | Net Capital, as defined | | \$
186,201 | | Al Requirement | | 19,315 | | Minimum Requirement | | 5,000 | | Net capital requirement | | 19,315 | | Net capital in excess of requirement | | \$
166,886 | | Ratio of aggregate indebtedness to net capital | | 1.56 to 1 | | Reconciliation with Company's computation of net capital: | | | | Net capital as reported in Company's Part 11A (unaudited) | | | | Focus Report | \$ | 186,201 | | Net audit adjustments | | | | Net capital per-above | \$ | 186,201 | | | | | There are no material differences between the above computation of net capital and the corresponding amended computation submitted by the Company with the unaudited X-17 A-5 as of June 30, 2024. {14}------------------------------------------------ # **SCHEDULE II** ## **HUNTWICKE SECURITIES LLC** # **COMPUTATION FOR DETER1'1INATION OF RESERVE AND INFORMATION RELATING TO POSSESSION OR CONTROL REQUIREMENTS FOR BROKER/DEALERS UNDER RULE 15c3-3 OF THE SECURITIES EXCHANGE ACT OF 1934** ## **JUNE 30, 2024** Huntwicke Securities LLC does not claim an exemption under paragraph (k) of 17 C.F.R. 240. 15c3-3. The Company relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. 240.l 7a-5 because the Company limits its business activities exclusively to: (a) private placements of securities and (b) selling tax shelters or limited partnerships in primary distributions and the Company (1) did not directly or indirectly receive , hold or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. {15}------------------------------------------------ # LARRY D. LIBERFARB, P.C. CERTIFIED PUBLIC ACCOUNTANTS AND FINANCIAL ADVISORS 11 Vanderbilt Avenue, Suite 220, 1orwood, Massachusetts 02062 Tel. (781) 255-8800 Fax (781) 255-9217 E-Mail: lnfo@Liberfarb.com # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON APPL YING AGREED-UPON PROCEDURES ### To the Sole Member of Huntwicke Securities LLC We tav~ parformed the procedures included in Rule 17a-5(e)(4) under the Securities Exchange Act of 1934 and in the Securities Investor Protection Corporation (SIPC) Series 600 Rules, which are enumerated below on the accompanying General Assessment Reconciliation (Form SIPC-7) for the year ended June 30, 2024. Management of Huntwicke Securities LLC (the Company) is responsible for its Form SIPC-7 and for its compliance with the applicable instructions on Form SIPC-7. Management of the Company has agreed to and acknowledged that the procedures performed are appropriate to meet the intended purpose of assisting you and SIPC in evaluating the Company's compliance with the applicable instructions on Form SIPC-7 for the year ended June 30, 2024. Additionally, SI PC has agreed to and acknowledged · that the procedures performed are appropriate for their intended purpose. This report may 11ot be suitable for any other purpose. The procedures performed may not address all the items of interest to a user of this report and may not meet the needs of all users of this report and, as such, users are responsible for determining whether the procedures performed are appropriate for their purposes. The sufficiency of these procedures is solely the responsibility of those parties specified in this report. Consequently, we make no representation regarding the sufficiency of the procedures described below either for the purpose for which this report has been requested or for any other purpose. The procedures we performed and our associated findings are as follows: - 1) Compared the listed assessment payments in Form SIPC-7 with respective cash disbursement records entries, noting no differences; - 2) Compared the Total Revenue amounts reported on the Annual Audited Report Form X-17A-5 Part Ill for the year ended June 30, 2024 with the Total Revenue amount reported in Form SIPC-7 for the year ended June 30, 2024, noting no differences; - 3) Compared any adjustments reported in Form SIPC-7 with supporting schedules and working papers, noting no differences; - 4) Recalculated the arithmetical accuracy of the calculations reflected in Form SIPC-7 and in the related schedules and working papers supporting the adjustments, noting no differences; and - 5) Compared the amount of any overpayment applied to the current assessment with the Form SIPC-7 on which it was originally computed, noting no differences. We were engaged by the Company to perform this agreed-upon procedures engagement and conducted our engagement in accordance with attestation standards established by the AICPA and in accordance with the standards of the Public Company Accounting Oversight Board (United States). We were not engaged to and did not conduct an examination or a review engagement, the objective of which would be the expression of an opinion or conclusion, respectively, on the Company's Form SIPC-7 and for its compliance with the applicable instructions on Form SIPC-7 for the year ended June 30, 2024. {16}------------------------------------------------ Accordingly, we do not express such an opinion or conclusion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. We are required to be independent of the Company and to meet our other ethical responsibilities in accordance with the relevant ethical requirements related to our agreed-upon procedures engagement. This report is intended solely for the information and use of the Company and SI PC and is not intended to be and should not be used by anyone other than these specified parties. {17}------------------------------------------------ # **SCHEDULE OF ASSESSMENT AND PAYMENTS** # **FOR THE YEAR ENDED June 30, 2024** | Payment Date | To Whom Paid | Amount | | |--------------|---------------------|--------|-------| | 1/25/2024 | SIPC, Washington DC | \$ | 1,273 | | 7/23/2024 | SIPC, Washington DC | \$ | 1,900 | {18}------------------------------------------------ # LARRY· D. LIBERFARB, P.C. CERTIFIED PUBLIC ACCOUNTANTS D Fl ANCIAL ADVISORS 11 Vanderbilc Avenue, Suite 220, Norwood, Massachusetts 02062 Tel. (781) 255-8800 Fax (781) 255-9217 E-Mail: Info@Liberfarb.com ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Sole Member of Huntwicke Securities LLC We have reviewed management's statement, included in the accompanying Exemption Report, in which (1) Huntwicke Securities LLC identified that it was filing the exemption report solely to be in compliance with 17 C.F.R. 240.17a-5 (d)(1) and (4). Huntwicke Securities LLC does not claim an exemption under paragraph (k) of 17 C. F. R. 240. 15c3-3, and is relying on Footnote 7 4 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. 240.17a-5 because the company limits its business activities exclusively to broker selling tax shelters or limited partnerships in primary distributions, including oil and gas offerings, private placement of securities, including oil and gas; and merger and acquisition advisory services and the Company (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; (3) did not carry PAB accounts (as defined by Rule 15c3-3} throughout the most recent fiscal year without exception. Huntwicke Securities LLC's management is responsible for compliance with Footnote 74 of the SEC Release No. 34- 70073. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about Huntwicke Securities LLC's compliance with the exemption provision. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based upon the Company's business activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5, and related SEC Staff Frequently Asked Questions. {19}------------------------------------------------ # **Huntwicke Securitjes LLC Exemption Report** Huntwfcke Securities LLC (the "Company'') is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17c;1-S, ".Reports to be made by certain brokers and dealers"}. This Exempti.on Report was prepared as required by 17 C.F.R. §240.17a-S(d)(l} and (4). To the best of its knowledge and belief, the Company states the following: - 1. The Company does.not claim an exemption under paragraph (k) of 17 C.F.R. § 240. 15c3- 3, and - 2. The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activfties exclusively to: - a. Broker selling tax shelters or limited partnerships in primary distributions, including oil and gas offerings; - b. Private placement of securities, including oil and gas; and - c. Merger and ~cquisition advisory services and the Company (1) di·d not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Huntwicke Securities LLC I, Brian Woodland, affirm that, to my best knowledge and belief, this Exemption Report is true c!nd Date President Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.