Full text of NCG SECURITIES LLC's X-17A-5 filed 2020-04-14 (period 2019-12-31). 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, 2019 {1}------------------------------------------------ UNITED ST A TES SECURITIES 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 SEC FILE NUMBER ## **ANNUAL AUDITED REPORT FORM X-17A-5 PARTID** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | | | MM/DD/YY | |---------------------------------------------------------------------------|-------------------------------------------------------|---------|-----------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER -<br>DEALER: | | | E | | | | | | | NCG Securities, LLC | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID.NO. | | 12 Broad Street | | | | | (No. and Street) | | | | | Red Bank<br>NJ | | | 0770 I | | (City)<br>(State) | | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Domenic Dipiero | | | (732) 741-8400 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | WithumSmith + Brown PC | | | | | | (Name - ifjndividual, state last, first, middle name) | | | | 141 I Broadway, 23rd Floor<br>New York | | NY | 10018 | | (Address)<br>(City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | ~ 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 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. ! 7a-5(e)(2).SEC* 1410 (3-91) {2}------------------------------------------------ # **NCG Securities, LLC** ## **TABLE OF CONTENTS** ## **This report\*\* contains (check all applicable boxes):** - [x] Independent Auditors' Report. - [x] Facing Page. - [ x] Statement of Financial Condition. - [ ] Statement of Operations. - [] Statement of Changes in Member's Equi…Read the full text as markdown