Full text of ALPACA SECURITIES LLC's X-17A-5 filed 2022-02-14 (period 2021-11-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **ALPACA SECURITIES LLC** # FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM NOVEMBER 30, 2021 # (PURSUANT TO RULE 17a-5(e)(3)) This report is filed in accordance with rule 17a-5(e)(3) Under the Securities Exchange Act of 1934 as a PUBLIC document. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMBAPPROVAL # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FILE NUMBER | | | | |--|-----------------|--|--|--| | | | | | | | | 8-69928 | | | | **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |-----------------------------------------------------------------------------------------------------------|--|--| |-----------------------------------------------------------------------------------------------------------|--|--| MM/00/YY AND ENDING **11 /30/21** MM/00/YY | A. | REGISTRANT IDENTIFICATION | |----|---------------------------| | | | NAME oF FIRM: Alpaca Securities LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant **{PCAOB R,g;s1rat;oo N"mb",** It **appl<abl•**<sup>I</sup> **)** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 3<br>East<br>Third<br>Avenue<br>Suite<br>233 | | | | | | | |----------------------------------------------------------------------------|--------------------------------|-------------------------------|--|--|--|--| | (No. and Street) | | | | | | | | San<br>Mateo | California | 94401 | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Jason<br>Soldner | 650-489-2017 | jason@alpaca.markets | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | IND'EPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Alvarez<br>&<br>Associates,<br>Inc. | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 9221<br>Corbin<br>Avenue, | Northridge<br>Suite<br>165 | California 91324 | | | | | | (Address)<br>10/16/2018 | (City) | (State)<br>(Zip Code)<br>6517 | | | | | rte of **R,g;<trat;oo with PCAOB)l;f appnrabl,)** **FOR OFFICIAL USE ONLY** \* Claim…Read the full text as markdown