Full text of EM SECURITIES LLC's X-17A-5 filed 2022-12-27 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL ST A TEMENT ## AND ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM For the year ended September 30, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549 ANNUAL REPORTS FORM X-17A-S PART** Ill FACING PAGE 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 11 SEC FILE NUMER 8- 67997 Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **\_1\_0\_/0\_1\_/\_2\_1** \_\_ AND ENDING 09/30/22 MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: EM Securities LLC TYPE OF REGISTRANT (check al l applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 405 Lexington Ave, 20th Floor (No. and Street) New York NY 10174 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Kathy Efrem (212) 897-1686 kefrem@integrated.so1utions (Name! (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WithumSmith+Brown, PC (Name- if individual, state last, first, and middle name) 200 JEFFERSON PARK. SUITE 400 Whippany NJ (Address) (City) (State) 100 07981-1070 (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) 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 circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(el(l)(ii), ,f 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. {2}------------------------------------------------ ## OATH OR AFFIRMA110N I, Robert Stanley , swear (or affirm) that to the bt!St of my kr.,owledge and belief, the financial report pertaining to EM Securities LLC as of 09!J0!22 , is true and correct. I further **swear (or affirm) that neither the company** nor **any partner,** officer, director, or **equivalent person, as t…Read the full text as markdown