# EASTERLY SECURITIES LLC X-17A-5 (2020-03-02) — Broker-dealer annual report - Company: EASTERLY SECURITIES LLC - Form: X-17A-5 - Filed: 2020-03-02 - Period: 2019-12-31 - Accession: 0001649587-20-000001 - CIK: 1649587 - File #: 8-69661 - Material weakness: No - Auditor: RGNC&S CPAs 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/1649587/000164958720000001/short.pdf --- {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** | | --
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REPORT FOR THE PERIOD BEGINNING 01/01/2019
AND END! G 12/31/2019
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- | | | | |---------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|------------|--------------------------------|--| | | 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
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
Certified Public Accountant
• I: | | | | | | B
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*
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 | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of
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EASTERLY SECURITIES LLC | -------------------, | | -
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of December 31 | -
as
are true and correct. I further swear ( or affirm) that | | neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account
classifie~ solely as that of a customer, except as follows: | | | | | | | Signature | | | FINOP
Title | | bulu~
C_
GLu9t
Notary Public
This report** contains (check all applicable boxes):
0 (a) Facing Page.
0 (b) Statement of Financial Condition.
D (c)
of Comprehensive Income (as defined in §210.1-02 of Regulation S-X).
Statement of Changes in Financial Condition.
□ (d)
D (e)
Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital.
Q] (f)
Statement of Changes in Liabilities Subordinated to Claims of Creditors. | Carol BracKett
NOTARY PUBLIC
Whitfield County, GEORGIA
My Comm. Expires
6/28/2020
Statement of Income (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement | | Computation of Net Capital.
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Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3 .
(i)
Information Relating to the Possession or Control Requirements Under Rule 15c3-3.
□ U)
Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3.
0 (k)
consolidation.
(I) An Oath or Affirmation .
(m) A copy of the SIPC Supplemental Report. | A Reconciliation, including appropriate explanation of the Computation ofNet Capital Under Rule 15c3-land the
A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of
(n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. | | ** For conditions of confldenlial treatment of certain portions of this filing, see section 240.17a-5(e){3). | | | | | | ,I | | {2}------------------------------------------------ ![](_page_2_Picture_0.jpeg) ![](_page_2_Picture_1.jpeg) # EASTERLYSECURITIESLLC ## FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION PURSUANT TO RULE 17AͲ5 UNDER THE SECURITIES EXCHANGE ACT OF 1934 # FOR THE YEAR ENDED DECEMBER 31, 2019 The financial statements and schedules are deemed confidential pursuant to subparagraph (e)(3) of Rule 17aͲ5 of the Securities Exchange Commission. {3}------------------------------------------------ # **EASTERLY SECURITIES LLC** # TABLEOFCONTENTS | REPORT
OF
INDEPENDENT
REGISTERED
PUBLIC
ACCOUNTING
FIRM


| 1 | |---------------------------------------------------------------------------------------|---| | FINANCIAL
STATEMENTS | | | Statement
of
Financial
Condition





| 3 | {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) Mark C. Goldberg, CPA Mark Rophoel, CPA Florio Somii-Nikpour, CPA Allon B. Cohen , CPA Michoel R. Sullivon, CPA Founding Partner: Melvin Goldberg, CPA Anilo C. Jocobsen, CPA ### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Members of Easterly Securities LLC #### **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of Easterly Securities LLC (the "Company") (a limited liability company), as of December 31, 2019, and the related notes to the financial statement. In our opinion, the statement of financial condition presents fairly, in all material respects, the financial position of Easterly Securities LLC as of December 31, 2019, in conformity with accounting principles generally accepted in the United States of America. #### **Basis for Opinion** This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statement. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statement. We believe that our audit provides a reasonable basis for our opinion. Raphael Goldberg Nikpour Cohen & Sullivan Certified Public Accountants PLLC We have served as the Company's auditors since 2018 Woodbury, New York February 27, 2020 {5}------------------------------------------------ ### **EASTERLY SECURITIES LLC** ### **EXEMPTION REPORT SEC 17aͲ5** | ASSETS |
| |---------------------------------------------------|-----------------| | Cash | \$
733,685 | | Receivables |
3,382,916 | | Due
from
member |
622,455 | | Prepaid
expenses |
6,738 | | Other
assets |
51,917 | | TOTALASSETS | \$
4,797,711 | |
|
| | LIABILITIESANDMEMBERS'EQUITY |
| | Liabilities |
| | Accounts
payable
and
accrued
expenses | \$
36,020 | | Due
to
member |
155,685 | | Deferred
revenue |
148,148 | | TOTALLIABILITIES | 339,853 | | |
| | MEMBERS'EQUITY | 4,457,858 | | TOTALLIABILITIESANDMEMBERS'EQUITY | \$
4,797,711 | The financial statements and schedules are deemed confidential pursuant to subparagraph (e)(3) of Rule 17aͲ5 of the Securities Exchange Commission. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.