Full text of NCG SECURITIES LLC's X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **NCG Securities, LLC** Statement of Financial Condition Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31, 2018 {1}------------------------------------------------ UNITED STATES SECURJTIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 8-69033 I SEC FILE NUMBER I # **ANNUAL AUDITED REPORT FORMX-17A-5 PARTill** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | ---------<br>01/01/18<br>MM/DD /YY | AND ENDING | 12/31/18<br>MM/DD/YY | |---------------------------------------------------------------------------|---------------------------------------------------------------------------------|------------|--------------------------------| | | A. REGISTRANT IDENTIFTCA TION | | | | NAME OF BROKER -<br>DEALER: | | | | | NCG Securities, LLC | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSfNESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 12 Broad Street<br>(No. and Street) | | | | Red Bank | NJ | | 07701 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Domenic Dipiero | | | (732) 74<br>1-8400 | | | | | (Area Code -<br>Telephone No.) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | | | | WithumSmith + Brown PC<br>(Name~ if individual, state last, first, middle name) | | | | 1411 Broadway, 23rd Floor | New York | NY | 10018 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | | | | | | 0<br>Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D<br>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 he covered hy the opinion of an independent public accnzmtant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. l 7a-5(e)(2).SEC* 1410 (3-91) {2}------------------------------------------------ # **N CG Securities, LLC** # **TABLE OF CONTENTS** ## **This report** \*\* **contains (check all applicable boxes):** - [x] Independent Auditors' Re…Read the full text as markdown