Full text of EM SECURITIES LLC's X-17A-5 filed 2020-12-14 (period 2020-09-30). 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, 2020 {1}------------------------------------------------ UNITED STA TIS SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549 | OM3 APPROVAL | | |---------------------------|----------------| | OM3 ttirrber: | 3235-0123 | | Expires: October 31, 2023 | | | Estimated average burden | | | hours per response 12.00 | | | | SEC FLE NlM3ER | | | | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | 8- | 67997 | |----|-------| | | | ### **FACING PAGE** # **Infonnation Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of1934 and Rule 17a-5 Thereunder** | REPORTFORTHEPFRIODBEGINNING | -----------<br>10/1/2019 | AND ENDING | ----------<br>9/30/2020 | |-------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|--------------------------| | | MM!DD/YY | | MM/DDIYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | EM Securities LLC | | | OFFICIAL USE 01\1 Y | | ADDRF.SS OF PRINCIPAL PIA CE OF BUSINFSS: (Do not use P.O. Box No.) | | | FIRMD.NO. | | | 405 Lexington Ave, 20th Floor | | | | New York | NY | | 10174 | | (City) | (tilate) | | (Zip Code) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | B. ACCOUNTANT IDENTIFICATION | | | | | WithumSmith+Brown, PC | | | | | (Name ·· if individual state las1,jirst. middle name ) | | | | 200 JEFFERSON PARK, SUITE 400 | Whippany | NJ<br>(State) | 07981-1070<br>(Zip Code) | | (Address) | (City) | | | | CHFCKONE:<br>GJ Certified Public Accountant<br>0 Public Accountant<br>D Accountant not resident | in United States or any of its possessions | | | | | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims for 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 240.17 a-5(e)(2).* | SEC 1410 (06-02) | |------------------| |------------------| SEC 1410(06-02) *Pote11tial persons wl,o are to respo11d to tlie collectio11 of i1iformatio11 contained i11 tllis form are not req11ired to respo11d 1111/ess tile form displays a c11rre11tlv valid 0MB control number.* {2}--------------------------------------…Read the full text as markdown