# ANNEXUS SECURITIES, LLC X-17A-5/A (2021-03-16) — Broker-dealer annual report - Company: ANNEXUS SECURITIES, LLC - Form: X-17A-5/A - Filed: 2021-03-16 - Period: 2020-12-31 - Accession: 0001683672-21-000003 - CIK: 1683672 - File #: 8-69829 - Material weakness: No - Auditor: RSM US LLP - Auditor location: Minneapolis, MN - Contact: Kenneth Lepore - Phone: 4803218992 - Signed by: Kenneth Lepore (FinOp, CCO) Original filing: https://www.sec.gov/Archives/edgar/data/1683672/000168367221000003/exemptionreport.pdf --- {0}------------------------------------------------ ![](_page_0_Picture_0.jpeg) **RSMUSLLP** ## Report of Independent Registered Public Accounting Firm Board of Directors and Member Annexus Securities, LLC We have reviewed management's statements, included in the accompanying Exemption Report, in which Annexus Securities, LLC (the Company) stated that: - 1. The Company does not claim an exemption under paragraph (k) of 17 C.F.R. § 240.15c3-3; - 2. The Company is filing an Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to participating in distributions of securities (other than firm commitment underwritings) in accordance with the requirements of paragraphs (a) or (b)(2) of 17 C.F.R. § 240.15c2-4; and - 3. The Company (1) did not directly or indirectly receive, hold or otherwise owe funds or securities for or to customers (other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of 17 C.F.R. § 240.15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription-way basis where the funds are payable to the issuer or its agent and not to the Company); (2) did not carry accounts of or for customers; and (3) did not carry proprietary accounts of broker-dealers (as defined in 17 C.F.R. § 240.15c3-3) throughout the most recent fiscal year without exception. The Company's management is responsible for its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence that the Company limited its business activities exclusively to participating in distributions of securities (other than firm commitment underwritings) in accordance with the requirements of paragraphs (a) or (b)(2) of 17 C.F.R. § 240.15c2-4, and (1) did not directly or indirectly receive, hold or otherwise owe funds or securities for or to customers (other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of 17 C.F.R. § 240.15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription-way basis where the funds are payable to the issuer or its agent and not to the Company); (2) did not carry accounts of or for customers; and (3) did not carry proprietary accounts of broker-dealers (as defined in 17 C.F.R. § 240.15c3-3) throughout the most recent fiscal year without exception. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on the provisions set forth in 17 C.F.R. § 240.17a-5. Minneapolis, Minnesota March 15, 2021 **THE POWER OF BEING UNDERSTOOD AUDIT I TAX I CONSULTING** {1}------------------------------------------------ ![](_page_1_Picture_0.jpeg) ## Annexus Securities LLC Exemption Report Annexus Securities LLC (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. §240.17a-S(d)(l) and (4). To the best of its knowledge and belief, the Company states the following: (1) The Company does not claim an exemption under paragraph (k) of 17 C.F.R. § 240.15c3-3, and (2) The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to participating in distributions of securities {other than firm commitment underwritings) in accordance with the requirements of paragraphs {a) or {b)(2) of Rule 15c2-4, and the Comp,rny (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers (other than money or other consideration received and promptly transmitted in compliance with paragraph (1) or {b)(2) of Rule 15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription way basis where the funds are payable to the issuer or its agent and not to the Company); (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 1Sc3-3) throughout the most recent fiscal year without exception. Annexus Securities, LLC I, Kenneth Lepore, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. l / By: /~ ~ Title: Chief Compliance Officer January 13, 2021 o ..;ao n1 8992 f .:.ao 452 0896 ,.-:t7 N Perimeter Or. S u ile 320 Scottsdale. AZ 85260 Al\ \l~XIJS.COM Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.