Full text of SAWAYA PARTNERS SECURITIES, LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** #### 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER a-68076 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/2019 | --<br>---<br>--<br>AND ENDING 12/31/2019 | | | |----------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------| | - | -<br>-<br>-<br>MM/DD/YY | | MMIDDIYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: SAWAYA PARTNERS SECURITIES LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.D. NO. | | 888 SEVENTH AVENUE -<br>15TH FLOOR | | | | | | (No. and Street) | | | | NEW YORK | NY | | 10019 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>MICHAEL T MARRONE | | | 646-930-1906 | | | | | {Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | RSGNC&S CERTIFITED PUBLIC ACCOUNTANT PPL | | | | | | (Name - if individual, state last, first, middle name) | | | | 97 FROEHLICH FARM BLVD | WOODBURY | NY | 11797 | | {Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I<br>✓<br>certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual reporl 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. 17a-5(e)(2)* > **Potential 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.** {1}------------------------------------------------ # **OATH OR AFFIRMATION** | I, MICHAEL T MARRONE | , swear (or affirm) that, to the best of | |-----------------…Read the full text as markdown