Full text of EM SECURITIES LLC's X-17A-5 filed 2023-12-28 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL STATEMENT # ANO # REPORT OF INDEPENDENT REGISTERED PUBLIC \CCOlTNTING FIRM For the year ended September 30, 2023 {1}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 **ANNUAL** SEC FILE NUMER **REPORTS FORM X-17A-S PART** Ill 1--- 8- 67997 **FACING PAGE** 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\_2 \_\_** AND ENDING MM/DD/VY 09/30/23 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: EM Securities LLC TYPE OF REGISTRANT (check all applicable boxes): [g Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Chee" 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 I 200 JEFFERSON PARK SUITE 400 Whippany NJ 07981-1070 !Address) (City) (State1 (Zip Code) 100 (Date of Registration with PCAOB)(lf 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(e)(l)(ii), if 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 AFJ,'IRMATION I, Robert Stanley , swear (or affirm} that, to the best of my knowledge and belief, the fln1ncl1I report pertaining to EM Secur1t1e& LLC as of 09/30123 , ls **true and** correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equi…Read the full text as markdown