Full text of FOROS SECURITIES LLC's X-17A-5 filed 2020-02-21 (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 | | OMB APPROVAL | | | | | |--------------------------|--------------|---------------------------|--|--|--| | OMS Number: | | 3235·0123 | | | | | Expires: August 31, 2020 | | | | | | | Estlmated average burden | | | | | | | | | hours per respOnse 12 .oa | | | | | | | SEC FILE NUMBER | | | | | | 8. 68233 | | | | | | | | | | | | ## ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill ## 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 | AND ENDING | 12/31/2019 | | |-------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|----------------------------------------------|--| | | ----------------~----~------------------<br>MM!DDfYYYY | | ----------~~~~-------------<br>MM/DD/YYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | Foros Securities LLC<br>NAME OF BROKER-DEALER: | | | | | | | | | OFFICIAL USE ONL V | | | | | | FIRMID. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 461 Fifth Ave -17th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | Robert Powell | | | (212) 340-7000<br>(Area Code- Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | WithumSmith+Brown, PC | | | | | | | (Name-· if individual, stare last. first, middle name) | | | | | 200 Jefferson Park #400 | Whippany | NJ | 07981 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>1!1 Certified Public Accountant<br>0 Public Accountant<br>0<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 report 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 OMB c…Read the full text as markdown