Full text of PHILOSMITH SECURITIES LLC's X-17A-5 filed 2024-02-20 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## PHILOSMITH SECURITIES, LLC # STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2023 {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549** **ANNUAL REPORTS** SECFILENUMBER **FORM X-17A-5** OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 | FORM X-17A-5 | | |--------------|--| | PART III | | **FACING PAGE Information RequiredPursuantto Rules17a-5, 17a-12, and 18a-7 under the SecuritiesExchange Actof 1934** FILING FOR THE PERIOD BEGINNING 01/01/23 AND END|NG12/31/23 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: PhiloSmith Securities, LLC TYPEOF REGISTRANT(check all applicable boxes): E Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTCderivatives dealer ADDRESSOF PRINCIPALPLACEOF BUSINESS:(Do not use a P.O. box no.) # Six Landmark Square | (No. and Street) | | | |------------------------------------------|------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | CT | | 06901 | | (State) | | (Zip Code) | | WITH REGARDTO THIS FILING | | | | Michele C. O'Grady 203 348-7365 | mogrady@philosmith.com | | | (Area Code<br>-Telephone Number) | | | | | | | | | | | | (Name - if | | | | New York,<br>750 Third Avenue 28th Floor | NY | 10017 | | (City) | (State) | (Zip Code) | | | 606 | | | applicable) | | applicable) | | | | | | | | (Email Address)<br>B. ACCOUNTANT IDENTIFICATION<br>ACCOUNTANT whose reports are contained in this<br>filing*<br>___________________<br>individual, state last, first, and middle name)<br>(PCAOBRegistration Number, if | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See17 CFR 240.17a-5(e)(l)(ii), if applicable. **Personswho are to respondto the collectionof information containedin this form are not required to respondunlessthe form displaysa currently valid OMB control number.** {2}------------------------------------------------ ## **OATH OR AFFIRMATION*…Read the full text as markdown