Full text of CERES SECURITIES, LLC's X-17A-5 filed 2023-01-30 (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 | OMB APPROVAL | | |--------------------------|----| | 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 | |-----------------| | | 8-69637 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/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Ceres Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D 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. 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) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | | | | | | | Stickley, Larry A | (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 Registration Number. if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | 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 | |…Read the full text as markdown