Full text of EASTERLY SECURITIES LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-69661 ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** *J.!\_-* • **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | --<br>------<br>REPORT FOR THE PERIOD BEGINNING 01/01/2019<br>AND END! G 12/31/2019<br>-<br>-<br>- | | | | |---------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|------------|--------------------------------|--| | | MM/DD/YY | | MM/ DD/ YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: EASTERL y SECURITIES LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 138 CONANT STREET | | | | | | | (N o. and Street) | | | | | BEVERLY | MA | 01915 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Ana R. Carter / 813-442-1645 | | | | | | | | | (Area Code - Telephone Number) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Raphael Goldberg Nikpour Cohen & Sullivan Certified Public Accountants PLLC | (Name - if individual, state last, first, middle name) | | | | | 97 Froehlich Farm Blvd. | Woodbury | NY | 11797 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | I | | | | | | ✓ I<br>Certified Public Accountant<br>• I: | | | | | | B<br>P~blic A:ccountant | Accoun.fant ~ot resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | INDEPENDENT ,PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>CHECK ONE: | | | | | | • l | | | | | **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.** ' .I SEC 1410 (11-05) , I {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Ana R. Carter | , swear ( or affirm) that, to the best of | |--------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown