Full text of EC SECURITIES, LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCIIANGECOMMISSION Washington, D.C. 205~9 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACING PAGE** | | 0MB APPROVAL | |-------------|-----------------------------| | 0MB Number: | 3235--0123 | | Expires: | October 31, 2023 | | | Estimated average burden | | | hours per response<br>12.00 | | SEC FILE NUMBER | |-----------------| | 8-69913 | **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l** 7a-5 **Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/20 | AND ENDING 12/31/20<br>----------- | | |------------------------------------------|------------------------------------|--| | M~1/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: EC Securities, LLC | | | | |-------------------------------------------|--|--|--| |-------------------------------------------|--|--|--| ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | 850 MONTGOMERY | STREET, SUITE 350 | |----------------|-------------------| |----------------|-------------------| (No. and Street) OFFICIAL USE ONLY FIRM 1.0. NO. 94133 | SAN FRANCISCO | CA | | 94133 | | |-----------------------------------|--------------------------------------------------------------------------|----------|---------------|--| | (City l | (State) | | (Zip Codcl | | | Bnan Megen1ty | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | (nO) 263-6003 | | | | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Marcum, LLP | | | | | | | (Name - 1/ 1n<bv1(/11al. stale last. first. n1l(/(//c na111e) | | | | | 10 Melville Park Rd | Melville | NY | 11747 | | | (Address) | (Cily) | (Slate) | | | | CHECK ONE: | | | | | | [{]certified<br>Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | USE ONLY | | | ## •c /ai,ns for exen1ption fro111 the reqi1iren1en1 tl1at 1J1e t1111111al reJJ<Jrt he c<>Vere,I hJ· tl1e <)f>i11i<>t1 ,>j-,111 i11clept111,ler1t 1>11hl *i,·* ,1cccJ1111t,111t m11st he st1pported b;-· a state,nenl rJjjacts a11d c:irc11n1st(1nces relied <>11 as tl1e busis\_/<)r tl1e e.,·en11>ti<>11. ,c;ee S'ecti<>n 2-l(). / -ci-5(e)( 2)  ## **Potential persons who are to respond to the collection of information containe…Read the full text as markdown