Full text of AFS SECURITIES, LLC's X-17A-5 filed 2020-02-07 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ AFS Securities, LLC Report Pursuant to Rule 17a-S (d) Financial Statements For the Year Ended December 31, 2019 {1}------------------------------------------------ ## AFS SECURITIES, LLC TABLE OF CONTENTS December 31, 2019 | | Page | |-------------------------------------------------------------------------------------------------------|-------| | Facing Page to Form X-17 A-5 | | | Affirmation | 2 | | Report of Independent Registered Public Accounting Firm | 3 | | Financial Statements | | | Statement of Financial Condition | 4 | | Statement of Income | 5 | | Statement of Changes in Member's Equity | 6 | | Statement of Cash Flows | 7 | | Notes to Financial Statements | 8-10 | | Supplemental Information Required by Rule 17a-5 of<br>the Securities and Exchange Commission | | | Computation of Net Capital for Brokers<br>Schedule I -<br>and Dealers Under SEC Rule l 5c3-l | 11 | | Schedule II -<br>Reconciliation of Net Capital Per FOCUS<br>Report with Audit Report | 12 | | Schedule III -<br>Information Relating to Possession or Control Requirements<br>Under SEC Rule 15c3-3 | 13 | | Computation for Determination of the Reserve Requirements<br>Schedule IV -<br>Under SEC Rule I 5c3-3 | 14 | | Report on Exemption Provisions<br>Claiming Exemption From SEC Rule l 5c3-3 | 15-16 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washfneton, D.C. 20549 | ANNUAL AUDITED REPORT | | | |-----------------------|--|--| | FORM X-17A·5 | | | | PART Ill | | | | OMB APPROVAL | | | |-----------------------------|-----------------------------|--| | OMB Number: | 3235--0123 | | | Expires:<br>August 31, 2020 | | | | Estimated avl!rage burden | | | | | hours per response . 12.00 | | | SEC FILE NUMBER | | |-----------------|--| | B-69483 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | REPORT FOR THE PERIOD BEGINNING January 1, 2019 | | AND ENDING December 31, 2019 | | | |---------------------------------------------------------------------------|---------------------------------------------------------------------|------------------------------|--------------------------------|--| | | MM/DDIYY | MM/DDIYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: AFS SECURITIES, LLC | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box N…Read the full text as markdown