Full text of OLD CITY SECURITIES LLC's X-17A-5 filed 2020-09-29 (period 2020-06-30). 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 Ill** | 0MB Number: | 3235-0123 | | | | |---------------------------|-----------------|--|--|--| | Expires: | August 31, 2020 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | | | 0MB APPROVAL | SEC FILE NUMBER | | |-----------------|--| | B-69902 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | |-----------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|-----------------------|--------------------------------|--| | REPORT FOR THE PERIOD BEGINNING 07/01/2019 | ----------- | AND ENDING 06/30/2020 | | | | | MM/DD/ Y Y | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: OLD CITY SECURITIES LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 445 CENTRAL AVENUE, SUITE 328 | | | | | | | (No. and Street) | | | | | CEDARHURST | NY | | 11516 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>MICHAEL T MARRONE | | | 646-930-1906 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>WithumSmith & Brown, PC | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 506 CARNEGIE CTR., STE 400 | PRINCETON | NJ | 08540 | | | (Addr ess) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | | | | | | | | | | | | | B | Accountant not resident in United States or any of its possessions.<br>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 supp orted by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this f…Read the full text as markdown