Full text of LUMA SECURITIES LLC's X-17A-5 filed 2019-11-20 (period 2019-09-30). 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: August 31, 2020 Estimated average burden hours per response . . . 12.00 #### **ANNUAL AUDITED REPORT** SEC FILE NUMBER **FORM X-17A-5** 8-68863 **PART III** #### **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 | 10/01/18<br>MM/DD/YY | AND ENDING | 09/30/19<br>MM/DD/YY | | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|-----------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER - DEALER: | | | | | | LUMA Securities LLC | | | OFFICIAL USE ONLY<br>__________________ | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | | 101 Fifth Avenue, Suite 900 | | | | | | (No. and Street) | | | | | New York | NY | | 10003-1008 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Rafael Beck | | | (212) 897-1690 | | | | | | (Area Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Janover LLC | | | | | | (Name - if individual, state last, first, middle name) | | | | | 100 Quentin Roosevelt Blvd, Suite 516 | Garden City | New York | 11530 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | X<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL 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 the exemption. See section 240.17a-5(e)(2).*SEC 1410 (3-91) {1}------------------------------------------------ {2}------------------------------------------------ ### **TABLE OF CONTENTS** #### **This report \*\* contains (check all applicable boxes):** - [x] Report of Independent Registered Public Accounting Firm. - [x] Facing Page. - [x] Statement of Financial Condition. - [ ] Statement of Oper…Read the full text as markdown