Full text of EQUITEQ SECURITIES LLC's X-17A-5 filed 2022-03-11 (period 2021-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2021 filing for the period beginning 01/01/2021 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: EQUITEQ SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): □ Security-based swap dealer \_ Broker-dealer | Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 122 East 42nd Street, Suite 3500 (No. and Street) NEW YORK 10168 NY (State) (Zip Code) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING PAUL ASARO 518.495.2217 PAUL.ASARO@EQUITEQ.COM (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* CITRIN COOPERMAN & COMPANY, LLC (Name – if individual, state last, first, and middle name) 50 ROCKEFELLER PLAZA NEW YORK NY 10020 (Address) (City) (State) (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. 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 OMB control number. {1}------------------------------------------------ # OATH OR AFFIRMATION I. GREG FINKE \_, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of EQUITEQ SECURITIES LLC as a comments of a comments as of 12/31 , 2021 partner, officer, director, or equivalent person, as the case may proprietary interest in any account classified solely as that of a customer. Due to difficulties arising due to COVID-19, we are submitting this document without notarization Signature: Title: MANAGING DIRECTOR Notary Public # This filing\*\* contains (check all applicable boxes): - (a) Stat…Read the full text as markdown