Full text of ALPACA SECURITIES LLC's X-17A-5/A filed 2022-02-18 (period 2021-11-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ## NOVEMBER 30, 2021 # (PURSUANT TO RULE 17a-5(e)(3)) This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 and Regulation 1.10(g) under the Commodity Exchange Act. A statement of financial condition bound separately has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC document. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 8-69928 0MB APPROVAL **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **12/01/20** MM/DD/YY AND ENDING **11/30/21** MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Alpaca Securities LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer D Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 3 East Third Avenue, Suite 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@alpacamkts.com | | | (Name) | | (Area Code -Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Alvarez<br>Associates,<br>& | Inc. | (Name - if individual, state last, first, and middle name) | | | | | 9221<br>Corbin<br>Avenue, | Suite<br>165 | Northridge | California | 91324 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10/16/2018 | | | 6517 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independe…Read the full text as markdown