Full text of SGI SECURITIES LLC's X-17A-5 filed 2024-03-05 (period 2023-12-31). 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** OMBAPPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-68732 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | ---------<br>01 /01 /23 | AND ENDING | ----------<br>12/31/23 | |---------------------------------|-------------------------|------------|------------------------| | | MM/DD/YY<br>4i | | MM/DD/VY | **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: SGI Securities LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer □ Check here if respondent Is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 7 Penn Plaza, Suite 1400 | | (No. and Street) | | | |------------------------------------------------|------------------------------------------------------------|-----------------|-------------------------------------------| | New York | NY | | 10001 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Andrew Schupak | 212-582-4210 | | as@sgic-securities.com | | (Name) | (Area Code - Telephone Number) | (Email Address} | | | | B. ACCOUNTANT IDENTIFICATION | | | | Weaver and Tidwell, LLP | (Name - if individual, state last, first, and middle name) | | | | 4400 Post Oak Parkway, Suite 11 oo Houston | | TX | 77027 | | (Address) | (City) | (State) | (Zip Code) | | 10/14/2003 | | 410 | I | | | | | (PCAOB Reglstr,Uon Numbe,, If applka ble) | | | FOR OFFICIAL USE ONLY | | | | r••<br>of Reglstmlon with PCAOBJ(;f appllca~e) | | | | | | | | | \* Clalms for exemption from the requirement that the annual reports be covered by the reports of an independent publlc 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)(l)(li), If applicable. 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 0MB control number. {1}------------------------------------------------ ## **OATH OR AFFIRMATION** I, Andrew Schupak swear (or affirm) that, to the best of my knowledge and belief, the financi…Read the full text as markdown