Full text of CERES SECURITIES, LLC's X-17A-5/A filed 2021-02-25 (period 2020-12-31). 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 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | 0MB APPROVAL | | |------------|--------------|--------------------------| | 0MB Number | | 3235-0123 | | Expires. | | October 31 2023 | | | | Estimated average burden | | hours | | 12.00 | | | | | | SEC FILE NUMBER | | |-----------------|--| | e-69637 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of te Securities Exchange Aet of 1934 and Rule 17a-5 Thereunder | | | 1934 and Rule 17a-5 Thereunder | | | |-----------------------------------------------------------------------|----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--| | so 91/0129_wo | | | | | | MM/DD/YY | | ns 12812°_<br>MM/DD/YY | | | | | | | | | | NAME OF BROKER -DEALER. Ceres Securities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.0. Box No.) | | | FIRM ID. NO. | | | | | | | | | (No. ad Stee) | | | | | | | | | | | | (State) | | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 46530 | | | | | | | | | Accountant not resident in United States or any of<br>its possessions | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | Indiana<br>if<br>(Nae<br>Granger | A. REGISTRANT IDENTIFICATION<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report<br>e<br>individual state lat, fr<br>»iedee .a<br>Indiana<br>(State) | 46617<br>HONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>5743674530<br>Please see enclosed Exemption Report | | *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 ad circumstances relied on as the basis for the exemption. See Section 240.7a-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 0MB control number, SEC 1410 (11-05) {1}------------------------------------------------ #### OATH OR AFFIRMAT…Read the full text as markdown