Full text of CIRRUS RESEARCH, LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-S PART** Ill SEC FILE NUMBER 8-68081 **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|------------------------------------------------------------|-----------------|----------------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 01/01/23 | | | ANDENDING 12/31 | /23 | | | | MM/DD/VY | | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Cirrus Research, LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 110 W. 40th St., Suite 1103 | | | | | | | | | | (No. and Street) | | | | | | New York | | NY | | | 10018 | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | ALAN KRIM | 516-526-1586 | | | alank@cirrus-res.com | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | NAWROCKI SMITH LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 100 MOTOR PARKWAY SUITE 580 | | HAUPPAUGE | | NY | 11788 | | | (Address) | | (City) | | (State) | (Zip Code) | | | MAR4 2009 | | | 3370 | | | | | (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(e)(l)(ii), if applicable. Persons who are to respond to the collection of info…Read the full text as markdown