Full text of EM SECURITIES LLC's X-17A-5 filed 2019-11-29 (period 2019-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL STATEMENT # AND # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM # For the year ended September 30, 2019 {1}------------------------------------------------ | | UNIDD STAT~ | | Ofvll t,unt,er:<br>3235-0123 | | | |----------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|--------------|-------------------------------|--|--| | SECURITIFS MD EXCHANGE COM1'1ISSION | Expires: August 31, 2020 | | | | | | | Estirrated average burden | | | | | | | | | hours per response<br>. 12.00 | | | | | ANNUAL AUDITED REPORT | | SEC FLE MJM3ER | | | | | 67997<br>8 - | | | | | | | PART Ill | | | | | | | FAONGPAGE<br>Infonnation Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-S Thereunder | | | | | | | | | | | | | REPORTFORTHEPERIODBEGINNING | ----------<br>10/1/2018 | AND ENDING | ---------<br>9/30/2019 | | | | | MM/DD NY | | MM/DDNY | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | | | OFFOA.L USE ONLY | | | | EM Securities LLC | | | | | | | | FIRM D. f'O. | | | | | | ADDRESS OF PRINCIPALPLACEOF BUSINESS: (Do not use PO. Box No.) | | | | | | | | 405 Lexington Ave, 20th Floor | | | | | | New York | | | 10174 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSO TO CONT ACT IN REGARD TO THIS REPORT | | | | | | | Kathy Efrem | | 212.a97-1686 | | | | | | | | (Area Code -- Telephone No.) | | | | | B. ACCOUNTANTIDENTIFICATION | | | | | | | | | | | | | INDFPENDENT PUBUC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | WithumSmith+Brown, PC | | | | | | | (Name -- if i11dil'idua/, state /as1,firs1, middle name) | | | | | | 200 JEFFERSON PARK, SUITE 400 | Whippany | NJ | 07981-1070 | | | | (Address)<br>CHF.CK ONF.:<br>@ Certified Public Accountant<br>D Public Accountant<br>D Accounlanl not resident | (City)<br>in United States or any of its possessions | (State) | (Zip Code) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | OM3AFffiOVAL *\*Claims for exemption from the requirement that the a111111al report be covered by the opinion of 011 i11depe11de11t public acco1111ta11t must be supported by a statement of facts and circumstances relied* 011 *as the basis…Read the full text as markdown