Full text of SAGEWORKS CAPITAL LLC's X-17A-5/A filed 2021-06-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | OMB Number: | | 3235-0123 | |---------------------------|--|------------------| | Expires: | | October 31, 2023 | | Estimated average burden | | | | hours per response 12.00 | | | | | | | OMB APPROVAL | | | SEC FILE NUMBER | |----|-------|-----------------| | 8- | 69058 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the | THE OF THE OLDER THE OF OF THE OWNER TO PORTAL TO PORTAL Y WE OWNER | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | |-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------------------------------------------|--------------------------------| | REPORT FOR THE PERIOD BEGINNING | JANUARY 1, 2020 | AND ENDING | DECEMBER 31, 2020 | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | name of broker-dealer: OPENFINANCE SECURITIES LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>1177 AVENUE OF THE AMERICAS, 7th FLOOR | | | FIRM I.D. NO. | | NEW YORK | (No. and Street)<br>NY | | 10036 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>VLAD UCHENIK | 215-806-9031 | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>OHAB AND COMPANY, PC | | | | | | (Name - if individual, state last, first, middle name) | | | | 100 E. SYBELLA AVENUE, SUITE 130 | MAITLAND | FLORIDA | 32751 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | Certified Public Accountant<br>Public Accountant<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 240.17a-5(c)(2) > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control numbe…Read the full text as markdown