Full text of CC SECURITIES, LLC's X-17A-5 filed 2019-02-28 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | | |--------------------------------|--------------------------|-----------------|--|--| | 0MB Number: | | 3235-0123 | | | | Expires: August 31, 2020 | | | | | | | Estimated average burden | | | | | hours oer resoonse • . • 12.00 | | | | | | | | SEC FILE NUMBER | | | | | 8- | 68546 | | | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** # **FACING PAGE Information 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 BEGINNING | 01/01/18 | AND ENDING | 12/31/18 | | |----------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------|------------------------------|--| | | -------------<br>MM/DD/YY | | -----------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | | | | CC Securities, LLC | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 1540 Broadway, 10th Floor | | | | | | | (No. and S1n:cl) | | | | | New York | New York | | 10036 | | | (Citv) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Andrew Miller | | | (212) 751-4422 | | | | | | (Area Code -- Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Singerlewak LLP | | | | | | | (Name -- if individ11al, stale lasl, firs/, middle name) | | | | | 3600 South Yosemite Street, Suite 600 | Denver | co | 80237 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>[?j Certified Public Accountant<br>D<br>Public Accountant<br>D<br>Accountant not resident in United States or any of its possessions | | | | | | | FOR OrflCIAL 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 on as the basis for lhe exemption. See Section 240. 17a-5(e)(2).* SEC 1410 (06-02} *Potential persons who are to respond to the collection of information contained in tl,isform are not required to res…Read the full text as markdown