Full text of LUMA SECURITIES LLC's X-17A-5 filed 2023-12-01 (period 2023-09-30). 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** ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB Number: 3235-0123 | |--------------------------| | | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | 8- 68863 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | _1_0_/0_1_/_22 | __<br>AND ENDING | 09/30/23 | | | | | |---------------------------------|----------------|------------------|----------|--|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | | | # NAME OF FIRM: LUMA Securities LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 101 Fifth Avenue, Suite 900 | | {No. and Street) | | | |---------------------------------------------------------------------------|------------------------------------------------------------|------------------------------|------------| | New York | NY | | 10003 | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Rafael Beck | (212) 897-1690 | rbeck@integ rated .solutions | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Prager Metis CPAs, LLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 222 Mount Airy Road | Basking Ridge | NJ | 07920 | | (Address) | (City) | (State) | (Zip Code) | | 09/29/2003 | | 273 | | (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) #### **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public 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)(ii), 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}---------------------------------------…Read the full text as markdown