Full text of AGM SECURITIES LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **AGM SECURITffiS LLC** STATEMENT OF FINANCIAL CONDITION AND Rl:.PORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31. 2023 {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PARTIII FACING PAGE Information Required Pursuant to Rules 17:i-S, l 7:i-12, :ind l 8a-7 under the Securities Exchnnge Acl of 1934 FILING FOR TIil PERIOD BEGINNING 01 /01 /23 AND ENDING **12/31 /23** MM/DD/YY MM/DD/YY #### **A. REGISTRANT IDENTIFICATION** # NAME or FrRM: AGM Securities LLC TYPE OF REGIS rRANT (check all applicable boxes): ~ Broker-dealer D Securit)-based s,,ap dealer D Major security-based swap participant D Check here ,r respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 42 Broadway, Suite 12-129 | | (No and Street) | | |-----------------------------------------|---------------------------------------------------------------------------|-----------------| | New York | NY | 10004 | | (Cit)) | (Slate) | (.lip Code) | | PERSON TO CONTACT WITII REGARD TO Tl II | S FILING | | | Howard Spindel | (212) 897-1688 | | | (Name) | (Arca Code - l\:lcphom: Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | WithumSmith + Brown, PC | | | (Name - ifindi,iduaL s1a11: lasL lirs1. and middle name) | 200 Jefferson Park Suite 400 | Whippany | NJ | 07981<br>-1070 | | |----------------------------------------------------|----------|---------|-------------------------------------------|--| | (Address) | (Cily) | (Staie) | (Zip Code) | | | 10/08/2003 | | 100 | | | | (Date of Rcgistra1ion ,, ith PCAOB)(if applicable) | | | (PCAOB Registration Number, ifapplicablc) | | #### FOR OFHCIAL USE ONLY • Claims for c,cmptic ,n from 1hc requircmcn1 tha1 the annual r..:pons he covered by 1hc reports of an independent public accounlant must hs: suppor1cd by a statc1m:n1 ot' foc1s and circumstances r.:lied on as the basis of the cx.:mption. Sec 17 CFR 240.17a-S(e)( l)(ul 1J'applicahle. Persons \I ho arc In n-,pond to the collection ofinfo rmation conta ined in this fo rm a rc not required to rCSJlOnd unless the form dis11l:1 ys a currcnll) , a lid 0MB control number. | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | |…Read the full text as markdown