Full text of SAWAYA PARTNERS SECURITIES, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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 **ANNUAL REPORTS FORM X-17A-5 PART Ill FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68076 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities E,cchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01101121 AND ENDING <sup>12131121</sup> ---------- ----------- MM/DD/YY MM/DD/YY A. **REGISTRANT IDENTIFICATION** NAME OF FIRM: SAWAYA PARTNERS SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): Iii Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use **a** P.O. box no.) 888 SEVENTH AVENUE - 15TH FLOOR **(No.** and Street) NEW YORK NY (City) {State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10019 (Zip Code) MICHAEL T MARRONE 646-930-1906 MMARRONE@SAWAYAPAi:; (Name) {Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* RSGNC&S CERTIFITED PUBLIC ACCOUNTANT PPL 97 FROEHLICH FARM BLVD (Address) 02/23/2010 (Name - if individual, state last, first, and middle name) WOODBURY (City) NY (State) 5028 11797 (Zip Code) l"' of R,~,i,ouoo ,.th PCAOB)(lf oppUcabiel FOR OFFICIAL USE ONLY (PCAOB Reg;s,ratloo Nomb", If oppUcableJ I \* 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 collec:tion 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 my knowledge and bel ief, the | |------------------------------|-------------------------------------------------------------------------------------------------------------------------------| | | financial report pertaining to the firm of SAWAYA PARTNERS SECURITIES LLC<br>as of | | DECEMBER 31<br>2 021 | is true and correct. I further swear (or affirm) that n…Read the full text as markdown