Full text of NCG SECURITIES LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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 l 7a-5 under the Securities Exchange Act of 1934 December 31, 2021 {1}------------------------------------------------ # **UNITED ST A TES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB Number: 3235-0123 | |--------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMER 8- 69033 **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 **0 1 /01 /21** MM/DDNY AND ENDING **12/31 /21** - -------- **MM** /0 D NY # **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: NCG 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.) 12 Broad Street | | | (No. and Street) | | | | |----------------------------------------------------------------------------|--|------------------------------------------------------------|----------------------------|------------|--| | Red Bank | | NJ | | 07701 | | | (City) | | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Domenic DiPiero | | (732) 7 41-8400 | DDiPIERO@NCGSECURITIES.COM | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing* | | | | | | | WithumSmith + Brown, PC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1411 Broadway, 23rd Floor | | New York | NY | 10018 | | | (Address) | | (City) | (State) | (Zip Code) | | | | 10/8/200: | | |--|-----------|--| | | | | 10/8/2003 100 (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 ofan 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. l 7a-5(e)( 1 )(ii), if applicable. **Persons who are to respond to the collection of information…Read the full text as markdown