Full text of CABOT LODGE SECURITIES LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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** OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-69009 **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 _____________________ AND ENDING ______________________ | 01/01/2021 | | 12/31/2021 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: | Cabot Lodge Securities, LLC | | _______________________________________________________________________ | | TYPE OF REGISTRANT (check all applicable boxes):<br>☐<br>☐<br>Broker-dealer<br>X<br>☐ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ☐ | Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>200 Vesey St, 24th Floor<br>_____________________________________________________________________________________ | | | | | | (No. and Street) | | | | New York<br>_____________________________________________________________________________________ | New York | | 10281 | | (City) | | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Roger F Leibowitz | 804-823-9902 | | Roger.Leibowitz@clsecurities.com | | (Name) | | _____________________________________________________________________________________<br>(Area Code – Telephone Number)<br>(Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>FGMK, LLC<br>_____________________________________________________________________________________ | | | | | | (Name – if individual, state last, first, and middle name) | | | | 333 W Wacker Drive, 6th Floor<br>__________________…Read the full text as markdown