Full text of EC SECURITIES, LLC's X-17A-5 filed 2022-04-20 (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 Number: 3235-0123<br>Expires: Oct. 31, 2023 | | |-------------------------------------------------|--| | | | | | | | Estimated average burden | | | hours per response:<br>12 | | 8-69913 #### ANNUAL REPORTS FORM X-17A-5 PART III #### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/21 | | AND ENDING 12/31/21 | | | |---------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: EC Securities LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer | _ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 900 Kearny St., Suite 500 | | | | | | | (No. and Street) | | | | | San Francisco | CA | | 94133 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Charlene F. Wilson | 623-533-4407 | | cwilson@compliance-risk.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Marcum, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 10 Melville Park Rd. | Melville | NY | 11747 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/16/2003 | | 688 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | 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. Mitch Avnet , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of EC S…Read the full text as markdown