Full text of NCG SECURITIES LLC's X-17A-5 filed 2024-03-21 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ ## **UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORMX-17A-5 PART** III 0MB APPROVAL 0MB Number: 3235·0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMER 8- 69033 **FACING PAGE** MM/00/YY **Information Required Pursuant** to **Rules** 17a-5, 17a-12, and **18a-7** under **the Securities Exchange Act** of **1934** FILlNG FOR THE PERIOD BEGINNING **01/01/23** AND ENDING **12/31 /23** MM/DD/YY # **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: NCG Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer O Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives deaJer ADDRESS OF PRINCJPAL 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 ACCOUNTANT 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) | | | | 10/8/2003 | | 100 | | | | | (Date of Registration with PCAOB)(ifapplicable) | | | (PCAOB Registration Number, if applicable) | | | #### 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. I 7a-5(e)( I )(ii), if applicable. Persons who arc to r espond to the collection ofinformation contained in this form ar e not required to rcs1>ond unless the form displays a curr…Read the full text as markdown