# EASTERLY SECURITIES LLC X-17A-5 (2019-02-28) — Broker-dealer annual report - Company: EASTERLY SECURITIES LLC - Form: X-17A-5 - Filed: 2019-02-28 - Period: 2018-12-31 - Accession: 0001649587-19-000001 - CIK: 1649587 - File #: 8-69661 - Material weakness: No - Auditor: Raphael Goldberg Nikpour Cohen & Sullivan Certified Public Accountants PLLC - Auditor location: Woodbury, NY - Contact: Ana R. Carter - Phone: 813-442-1645 - Signed by: Ana R. Carter (FINOP) Original filing: https://www.sec.gov/Archives/edgar/data/1649587/000164958719000001/es1.pdf --- {0}------------------------------------------------ PUBLICLY AVAILABLE SEC FILE NUMBER &-69661 OMB APPROVAL OMB Number: 3235·0123 Expires: August 31,202:0 Estimated average burden hours per response ...... 12.00 UNITED STATES SECURITiES AND EXCHANGECOMMISSION Washington, D.C. 20549 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Informatio n Required of Brokers and Dealers Pursuant to Section 17 of the Sec uri ties ExchaiJlge Act of 1934 and Rule 17a-S T hereunder | REPORT FOR THE PERJOD BEGrNNI 'G ()1 | /01
/2018 | AND ENDING 12/31
/2018 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|---------------------------|-----------------------------------|--| | | MWDD/ YV | | ---------------------
MM/00/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF B ROKER-DEALER: EASTERLy SECURITIES LLC
ADDRESS OF PRINCIPAL PLACE OF BUS INESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM 1.0. NO. | | | | 138 CONANT STREET | | | | | | BEVERLY | (No nnd S1ree1)
MA | | 01915 | | | (Cily) | (:I til\~ ) | | | | | | | | (Area Code- Telephone Num bcr) | | | INDEPENDENT PUBLIC ACCOU TA T whose opinion is contained in this Report*
Raphael Goldberg Nikpour Cohen & Sullivan Certified Public Accountants PLLC | B. ACCOUNT ANT IDENTIFICATION | | | | | | (Name- if individual, state last,first, middle nome) | | | | | 97 Froehlich Farm Blvd.
(Address) | Woodbury
(City) | NY
(Stale) | 797
11
(Zrp Code) | | Potential persons who are to respond to the collect I on of information contained in this form are no t required to respond unless the form displays a currently valid OMB control number. SEC 1410 (11 -05) {1}------------------------------------------------ ## **PUBLICLY AVAILABLE** ## **OATH OR AFFIRMATION** | I, Ana R. Carter | , swear (or affirm) that, to the best of | |-------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------| | EASTERLY SECURITIES LLC | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to t11e firm of | | of December 31 | ------~------------------------------------------------------------------------------'as
are true and correct. I further swear (or affirm) thal | | classified solely as that of a customer, except as follows: | neither the company nor any partner, proprietor. principal officer or director has any proprietary interest in any account | | | | | | e.
c=;c:
(}t;;
Signature | | | FINOP
Ti'tle | | | CHRISTIAN MENA
Notary Public - State of Georgia | This report •• contains (check all applicable !boxes): - 0 (a) Facin\$ Pase. - 0 (b) Statement of Finane ial Condition. ------- O (c) Statement of Income (Loss) or, if there is other comprehensive income in the poeriod(s} presented, a Statement of Comprehensive Income (as defined in §210.1-02 of Regulation S-X). **B1rtow County My Commission Explf'H Jan 6, 2020** - - 8 (d) Statement o f Changes in Financial C.ondition. (e) Sta temcnt of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. - **0** (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. - § (g) Computation of let Capital. - (h) Com putation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. - (i) Information Relating to the Possession or Control Requiremen ts Under Rule 15c3-3. - 0 (j) A Reconciliation, including appropriate explanation of the Com putation ofNet Capital Under Rule 15c3- l and the Computation for Det ermination o f the Reserve Requirements U nder Exhibit A of Rule I 5c3-3. **0** (k) A Reconciliation be1ween the audited and unaudited Statemenls of Financial Condition with respect to methods of consolidation. - 0. ~ (I) An Oath or A ffirmalion. - 0 (m) A copy of the SIPC Supplemental Report. - 0 (n) A report describing any material inadequacies found to exist or f<>und to have existed since the date of the previous audit. •• *For conditions of confidential treatment of certain portions of this filing, see section 240. I 7a-5(e)(3).* {2}------------------------------------------------ ## **EASTERLY SECURITIES LLC STATEMENT OF FINANCIAL CONDITION Decernber31, 2018** | ASSETS | | |------------------------------------------------|-----------------| | Cash | \$
2,961,744 | | R€ceivables | 6,702,852 | | Due from Member | 47,580 | | Prepaid expenses | 8,619 | | Other assets | 51,917 | | TOTAL ASSETS | \$
9,772,712 | | LIABILITIES AND MEMBERS' EQUITY
Liabilities | | | Accounts payable and accrued expenses | \$
43,969 | | Deferred revenue | 1,127,592 | | TOTAL LIABILITIES | 1,171,561 | | MEMBERS' EQUITY | 8,601,151 | | TOTAL LIABILITIES AND MEMBERS' EQUITY | \$
9,772,712 | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.