Full text of EC SECURITIES, LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-S PART Ill** | | SEC FILE NUMBER | |--|-----------------| | | | 8-69913 | FILING FOR THE PERIOD BEGINNING 01/01/22 | ---------- | AND ENDING 12/31/22 | ----------- | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------|----------------------------------------------|--|--| | | MM/DD/VY | | MM/DD/VY | | | | | 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 | D Security-based swap dealer | | D 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 | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Marcum, LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 10 Melville Park Rd. | Melville | | 11747 | | | | (Address) | (City) | NY<br>(State) | (Zip Code) | | | | 10/16/2003 | | 688 | | | | | rte of Reg;stc,tioa w;th PCAOB )l;t appUcable J | | | I PCAOB Reg;strafoo N,mbec, ;t appUcable I I | | | CFR 240.17a-S(e)(l)(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 0MB control number.** {1}------------------------------------------------ - I, Mitch Avnet swear (or affirm) that, to the best of my knowledge and belief, the pertaining to the f;,m ~f EC Securities LLC as of - 17 March \_\_\_\_\_\_\_ <sup>2023</sup>is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, d…Read the full text as markdown