Full text of EAST WIND SECURITIES, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **EAST WIND SECURITIES, LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2020** {1}------------------------------------------------ **UNITED Sf ATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |--------------------------|---------------------------| | 0MB Number: | 3235-0123 | | Expires: | October 31, 2023 | | Estimated average burden | | | | hours per response 12.00 | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** SEC FILE NUMBER 8-67955 **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 _ | _ o_1_10_1_1_2_o _<br>_<br>_ | _ AND ENDING _ | __ 12l<br>__3_1_/2_0 _<br>_ _<br>_ | | |-----------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-------------------------------------|------------------------------------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: East Wind Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSI ESS: (Do not use P.O. Box No.) | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | 810 Seventh Avenue, 35th Floor | | | (No. and Street) | | | | | New York | NY | | 1001<br>9 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHO E NUMBER OF PERSO | | TO CONTACT IN REGARD TO THIS REPORT | | | | Steven Singer | | | 561-784-8922<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | DEPENDENT PUBLIC ACCOU TANT whose opinion is contained in this Report• | | | | | | Adeptus Partners, LLC | | | | | | | (Name - ifindil>idual. srare /ast.firsr. middle name) | | | | | 6 East 45th Street | New York | NY | 10019 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Iv' I<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | a<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims/or exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 2.J0. / 7a-5(e)…Read the full text as markdown