Full text of CHAFFE SECURITIES, INC.'s X-17A-5/A filed 2023-05-12 (period 2022-12-31). 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 OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ANNUAL REPORTS FORM X-17A-5 PART III SEC.FILE NUMBER 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 \_\_ 1/01/22 AND ENDING 12/31/22 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Chaffe Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): (Date of Registration with PCAOB)(if applicable) @ Broker-dealer | | Security-based swap dealer | | Major security-based swap participant Check here if respondent is also an OTC derivatives dealer (PCAOB Registration Number, if applicable) ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 201 St Charles Ave Suite 1410 | | | | | | | | |------------------------------------------------------------|---------------------------------------------------------------------------|------------------------------|------------|--|--|--|--| | (No. and Street) | | | | | | | | | New Orleans | 1 A | | 70170 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Vanessa Claiborne | 504-524-1801 | 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 | | 609 | | | | | | \* 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 27 CFR 240.172-5(e)(1)(II), If applicable. FOR OFFICIAL USE ONLY 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 CMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I. Vanes…Read the full text as markdown