Full text of TAP 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}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION December 31 , 2019 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | | OMB APPROVAL | | | |-------------|----------------|--------------------------|--| | OMB Number: | | 3235-0123 | | | | | Expires: August 30, 2020 | | | | | Estimated average burden | | | | | hours per response 12.00 | | | | SEC FLE NUMBER | | | | | 8 - | 68381 | | | | | | | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III # FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | 1/1/2019 | AND ENDING | 12/31/2019 | | | |--------------------|-------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--| | MM/DD/YY | | MM/DD/YY | | | | | | | | | | | | | | | | | | OFFICIAL USE ONLY | | | | TAP SECURITIES LLC | | | | | | | | | | | | | | | | | | | | | | | | | New York | 10022 | | | | | (State) | (Zip Code) | | | | | | | | | | | | 212-897-1688 | | | | | | (Area Code -- Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | | | | | | Whippany | NJ | 07981 | | | | (City) | (State) | (Lip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (No. and Street)<br>WithumSmith+Brown, PC | A. REGISTRANT IDENTIFICATION<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>( Name -- if individual, state last, first, middle name )<br>Accountant not resident in United States or any of its possessions<br>FOR OFFICIAL USE ONL Y | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant nust be supported by a statement of facts and circumstances…Read the full text as markdown