Full text of EASTERLY SECURITIES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGECOMMlSSJON Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | 3235-0123<br>August 31, 2020 | |------------------------------| | Estimated average burden | | r res onse<br>12.00 | | | 0MB APPROVAL | SEC FILE NUMBER | | |-----------------|--| | 8-69661 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section** 17 **of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGTNNING 01/01/2020 | | AND ENDING 12/31/2020 | | | |------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-----------------------|---------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: EASTERL y SECURITIES, LLC | | OFFICIAL USE ONLY | | | | ADDR.ESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 138 CONANT STREET | | | | | | | (No. 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 - Telcphont: Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | Raphael Goldberg Nikpour Cohen & Sullivan Certified Public Accountants PLLC | | | | | | | (Name- tfindivid11u.l ttate last,first, middle name) | | | | | 97 Froehlich Farm Blvd. | Woodbury | NY | 11797 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | *Claims for exemption from lhe requirement that the annual report be covered by the opinion of an independent public accountant | | | | | | must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.l 7a-5(e)(2) | | | | | **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.** SEC 1410 (11-05) | 97…Read the full text as markdown