Full text of SERA GLOBAL SECURITIES US LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ {A wholly owned subsidiary of Sera Global us, Holdings LLC) Financial Statements and Supplementary Schedules Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31, 2021 (Confidential Treatment Requested) {1}------------------------------------------------ ## UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB Number: 3235-0123 | |--------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMER 8- 69752 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Excha nge Act of 1934 FILING FOR THE PERIOD BEGINNING 01 /01 /21 AND ENDING 12/31 /2 ·1 MM/DDNY ~---------------------~ MM/DDNY ## A. REGISTRANT IDENTIFICATION # NAME OF FIRM: \_\_\_ S\_e\_ra\_G\_lo\_b\_a\_l\_S\_e\_c\_u\_ri\_ti\_e\_s\_U\_S\_ L\_L\_C \_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1114 6th Avenue, 22nd Floor | | (No. and Street) | | |-----------------------|----------------------------------------------------------------------------|--------------------------------| | New York | NY | 10036 | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | Michael Stupay | (212) 897-1692 | mstupay@integ rated. solutions | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing* | | | WithumSmith+Brown, PC | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 200 Jefferson Park, Suite 400 | Whippany | NJ | 07981 | |--------------------------------------------------|----------|---------|-------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 10/8/03 | 100 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, ifapplicable) | #### FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supp-0rted by a statement of facts and circumstances relied on as the basis o…Read the full text as markdown