Full text of CERES SECURITIES, LLC's X-17A-5 filed 2021-01-29 (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 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . . . . . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-69637 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 001/01/20 | | AND ENDING | 12/31/20 | | |-------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------|-------------------|------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Ceres Securites, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>806 Howard St Ste 200 | | OFFICIAL USE ONLY | | | | | | | FIRM I.D. NO. | | | | (No, and Street) | | | | | South Bend | Indiana | | 46617 | | | (City) | (State) | | (Zip Code) | | | Steven L Cardinal | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION | | 574-367-4530<br>(Area Code - Telephone Number) | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first. middle name) | | | | | (Address) | (Cily) | (State) | (Zip Code) | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant | 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 supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5(e)(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 number. SEC 1410 (11-05) {1}------------------------------------------------ #### OATH OR AFFIRMATION | Ceres Securites, LLC | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>1…Read the full text as markdown