Full text of TAP SECURITIES LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION December 31, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | UNITED ST A TES | |------------------------------------| | SECURITIDi AND EXCHA.NGECOMMJSSION | | Washington, D.C. 20S49 | | OM3 APPROVAL | | | | | |-----------------------------|-----|----------------------------|--|--| | OM3 l'tlrrber: | | 3235-0123 | | | | | | Expires: October 31 , 2023 | | | | | | Estirrated average burden | | | | hours per response . 12.00 | | | | | | | | SEC FLE NU~ER | | | | | 8 · | 68381 | | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** #### **FACING PAGE** # Infonnation 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 BEGINNlNG | -----------<br>1/1/2020 | AND ENDING | ----------<br>12/31/2020 | |---------------------------------------------------------------------------|-----------------------------------------------------------|------------|-------------------------------| | | MM/0D/YY | | MM/DD'YY | | | A. REGISTRA!'lT IDENTIFICATION | | | | NAME OF BROKER-DEALER | | | | | TAPS ECURITIES LLC | | | OFFCLA.L USE ONLY | | | | RRMID. NO. | | | ADDRESS OF PRINCIPAL PIA CE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 767 FIFfHAVFNUE<br>FL 18 | | | | | | reet | | | | New York | New York | | 10153 | | (City) | (Slate) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT lN REGARD TOTI-OS REPORT | | | | | Howard Spindel | | | 212-897-1688 | | | | | (Area Code -- T elepbone No.) | | | B. ACCOUNTAl'lT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | WithumSmith+Brown, PC | | | | | | (Name -- ifi11dil'id11al, s1a1e las/, firs/, middle name) | | | | 200 Jefferson Park, Suite 400 | Whippany | NJ | 07981 | | (Address) | (City) | (State) | (Zip Code) | | CHFCKONE:<br>~ Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D 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* 011 *as the basis for the exemption. See section 240.l 7a-5(e)(2).* SEC 1410 (06-02) *Potenlial persons who…Read the full text as markdown