Full text of VNTR SECURITIES LLC's X-17A-5 filed 2020-03-13 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer response ...... 12.00 SEC FILE NUMBER 8-69768 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill **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 T:HE PERIOD BEGINNINGQ1/Q1/:JOfq | | AND ENDING 12/31/ ;}_ 0/ '/ | | | |--------------------------------------------------------------------------------------|---------------------------------------------------------------------|-----------------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: VNTR Securities LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.D. NO. | | | | | | | | | | (No. and Street)<br>ff\ | /()tifo | | | | | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Jon Nixon | | 516-490-8400 | | | | | | | (Arca Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | t6u1:.ow~£--~ | | | | | | | (Name - if individual, state last,first, middle name) | | | | | t<br>571<br>IZ-ov1G·<br>,- | I 5/:FL/l'J,<br>)(JJ1e~ 4103 | IY:J | | | | I<br>(Address) | J<br>(City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | IV I<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of a~ independen~ public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemptzon. See Sectzon 240.J7a-5(e)(2)* > **Potential persons who are to respond to th~ collection of information contained in this form are not requured to respond unless the form displays a currenitlyvalid 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | r, Eri,c Brachfef d, | , swear (or affirm) that, to the best of | |--------------------------------------------------------------------…Read the full text as markdown