Full text of AUCTUS SECURITIES, LLC's X-17A-5 filed 2020-02-24 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Auctus Securities, LLC Report Pursuant to Rule 17a-5 (d) Financial Statements For the Year Ended December 31, 2019 {1}------------------------------------------------ | UNITED STATES | |---------------------------------| | SECURITIESANDEXCHANGECOMMJSSION | | Washington, D.C. 20549 | OM8 APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours r res rae .. .... 12,00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill SEC FILE NUMBER &-67996 #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 1 ?a-5 Thereunder | REPORT FOR TIIE PERIOD BEGINNING January 1, 2019 | | AND ENDING December 31, 2019 | | | |--------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------|------------------------------|----------------------------------|--| | | MMIDDIYY | | MMIDDNY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: AUCTUS SECURITIES, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRMl.D.NO. | | | | | | | | | 2250 W Grand Avenue | | | | | | | (No. and Street) | | | | | Chicago | IL | | 60612 | | | (Cily) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Steven C &nclel | | | 646.290.n48 | | | | | | (Area Code -Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | Alvarez & Associates, Inc. | | | | | | | (Name -1/ Individual. state last, flr3t, middle nam11) | | | | | 9221 Corbin Avenue | North ridge | CA | 91324 | | | (Address) | (City) | (State) | (Zip Cade) | | | | | | | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | § | Accoumant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *•Claims for exemption from the requireme11t that the an11ual report be covered by the opinion of an imlepl!ndent public accou11tant must be supported by a statement of facts a11d circumstances relied on as the basis for the exemption. See Section 240, I 7a-J(e)(2)* > Potential persons who are to respond to the collection of Information contained In this form are n…Read the full text as markdown