Full text of SAGEWORKS CAPITAL LLC's X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PUBLIC REPORT FOR THE PERIOD BEGINING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | QMB APPROVAL | | | |-----------------------------------|------------------|--| | QMB Number. | 3235-0123 | | | Expires: | October 31, 2023 | | | Estimated average burden | | | | . 12.00 <br>hours per response . | | | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | | |-----------------|--|--| | 8-69058 | | | DECEMBER 31, 2020 #### FACING PAGE AND ENDING Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder JANUARY 1, 2020 | | MM/DD/YY | | MM/DD/YY | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------|--------------------|-----------------------------| | | | | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | OPENFINANCE SECURITIES, LLC | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM ID. NO. | | | | 1177 AVENUE OF THE AMERICAS, 711 FLOOR | | | | | (No. and Street) | | | | NEW YORK | NY | | 10036 | | (City) | (State) | | (Zip Code) | | NAME AND TEEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>VLAD UCHENIK | | | 215-806-9031 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT DESIGNATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | OHAB AND COMPANY, PA | | | | | (Name - if individual, state last, first, middle name) | | 32751 | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND<br>(Address and City) | | FLORIDA<br>(State) | (Zip Code) | | CHECK ONE:<br>X Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of its possessions | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | * Claims for exemption from the requirement that the annual audit be covered by the opinion of an independent public accountant<br>must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(0). | | | | Potential persons who are to respond to the collection of information contained in this form are required to respond…Read the full text as markdown