Full text of LUMA SECURITIES LLC's X-17A-5 filed 2020-11-24 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED ST A TES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | #### **ANNUAL AUDITED REPORT FORM X-17A-S PARTID** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per resoonse . .. 12.00 | __S_EC FILE NUMBER | |--------------------| | 8-68863 | #### **FACING PAGE** #### Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | REPORT FOR THE PERIOD BEGINNING | __<br>l,0""'/0"--"1.::/1=9 | ___<br>AND ENDING | 09/30/20 | |--------------------------------------------------------------------------|--------------------------------------------------------|-------------------|-------------------| | | MM/DD/YY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER -<br>DEALER: | | | | | LUMA Securities LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINClPAL 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) | | | 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: | | | | | ~ Ccr1ified Public AcCQuntant | | | | | D<br>Public Accountant | | | | | 0<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims/or exemplionfrom 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. I 7a-5(e)(2}.SEC* 1410 (3-91) {1}------------------------------------------------ #### AFFIRMATION I, Rafael Beck, affirm tbat, to the best of my knowledge and belier, the accompanying financial statements and supplemental schedules pertaining to LUMA Securities LLC for the year ended September 30, 2010, are ttlle and correct. I further affirm that neither the Company nor any officer or director bas any proprietary Interest in any account classified solely as tbat of a customer. Chief…Read the full text as markdown