Full text of CERES SECURITIES, LLC's X-17A-5 filed 2022-02-08 (period 2021-12-31). 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 REPORTS FORM X-17A-5 PART Ill** | OM B APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | | | SEC FILE NUMBER | |---------|-----------------| | 8-69637 | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |-------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|----------------------------------------------| | | 01-01-21<br>FILING FOR THE PERIOD BEGINNING _AND END[NG | 12-31-21 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | t<br>l<br>O<br>NAME OF FIRM: _<br>S<br>e<br>c<br>u<br>r<br>i<br>t<br>i<br>e<br>s<br>,<br>C<br>e<br>r<br>e<br>s | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□<br>KJ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 806 Howard St<br>Ste 200 | | | | | | (No. and Street) | | | | South Bend | Indiana | | 46617 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Steven L Cardinal | 574-367-4530 | | Scardinal@Ceres-Securities.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | Stickley, Larry A | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | (Name -- if individual, state last, first, and middle name) | | | | 17385 Turnbury Ct | Granger | IN | 46530 | | (Address) | (City) | (State) | (Zip Code) | | (see exemption report) | | | | | rte of Registration with PCAOB)(if applicable) | | | (PCAOB Reg;stcat;oo N"mbe,, ;f appl;cableJ I | Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(i), if applicable. **Persons who are…Read the full text as markdown