Full text of CLIENT ONE SECURITIES LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | AND ENDING | 12/31/20 | |--------------------------------------------------------------------------------------------|---------------------------------------------------------------------|--------------------------------------------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Client One Securities, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 11460 Tomahawk Creek Parkway | | | | | | (No. and Street) | | | | Leawood | KS | | 66211 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Susan Hayes | | | (609) 642-6593 | | | B. ACCOUNTANT IDENTIFICATION | | (Area Code - Telephone Number) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Moss Adams LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | 999 Third Avenue, Suite 2800 | Seattle | WA | 98104 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | V Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | {1}------------------------------------------------ {2}------------------------------------------------ **Client One Securities, LLC Report Pursuant to Rule 17a-5(d) Financial Statements For the Year Ended December 31, 2020** {3}------------------------------------------------ | | Page(s) | |-------------------------------------------------------------------------|---------| | Report of Independent Registered Public Accounting Firm | 1 | | Financial Statements | | | Statement of Financial Condition | 2 | | Statement of Operations | 3 | | Statement of Changes in Member's Equity | 4 | | Statement of Cash Flows | 5 | | Notes to Financial Statements | 6 - 12 | | Supplemental Information | 13 | | Schedule I - Computation of Net Capital Under Rule 15c3-1 of the | | | Securities and Exchange Commission | 14 | | Schedule II - Computation for Determination of Reserve Requirements | | | Under Rule 15c3-3 of the Securities and Exchange Commission | 15 | | Exemption Certification | 16 | | Report of Independent Registered Public Accounting Firm on Management's | | | Exemption Report |…Read the full text as markdown