Full text of POINSETT SECURITIES, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |--|-----------------| 0MB APPROVAL **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | 01/01/22 | AND ENDING | 12/31/22 | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|------------------------------------------|--|--|--| | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | __<br>Po_i_n_se_t_t_S_e_cu_r_it_ie_s_,_L_LC<br>NAME OF FIRM: | | | _____________________<br>_ | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 777 Lowndes Hill Road, Building 3, Suite 110 | | | | | | | | | {No. and Street) | | | | | | | Greenville | SC | | 29607 | | | | | {City) | {State) | | {Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | John W. Boyd | (864) 679-4705 | | jboyd@poinsettsecurities.com | | | | | {Name) | {Area Code - Telephone Number) | | {Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | {Name - if individual, state last, first, and middle name) | | | | | | | {Address) | {City) | {State) | {Zip Code) | | | | | '1'" of Reg;st,at;o, w;th PCAOB)l;f appi;cable)<br>FOR OFFICIAL USE ONL V | | | I | | | | | | | | (PCAOB Reg;stratloo N,mbe,, • applkable) | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17<br>CFR 240.17…Read the full text as markdown