Full text of CHAFFE SECURITIES, INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | OMB APPROVAL | | | | | | |-----------------------------------------------------------------------------------------------------------|----------------------------------------------------|---------|--------------------------------------------|--|--|--| | SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0123 | | | | | | | Washington, D.C. 20549 | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | | hours per response: 12 | | | | | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | | | | | FORM X-17A-5 | | 8-68433 | | | | | | PARTIT | | | | | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | AND ENDING 12/31/21 | | | | | | | | filing for the period beginning U1/01/21 | MM/DD/YY | | MM/DD/YY | | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Chaffe Securities, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | L Security-based swap dealer<br>Broker-dealer | | | | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 201 St. Charles Ave | uite 1410 | | | | | | | | (No. and Street) | | | | | | | New Orleans | LA | | 70170 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Vanessa Claiborne | 504-524-1801<br>vbrown@chaffe-associates.com | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | LaPorte, A Professional Accounting Corporation | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 5100 Village Walk, Ste 300 Covington | | LA | 70433 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 10/16/2003 | | 601 | | | | | | (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 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-5(e)(1)(ii), if…Read the full text as markdown