Full text of NORDEA SECURITIES LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  Financial Statement Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31, 2021 (Public) # Nordea Securities LLC {1}------------------------------------------------ | | UNITED STATES | | | OMB APPROVAL | | | |------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------|----------|---------------------|----------------------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | | OMB Number: 3235-0123 | | | | | Washington, D.C. 20549 | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | | | hours per response:<br>12 | | | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | | 8-70077 | | | | | PARTII | | | | | | | | | | | | | | | | 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 | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Nordea Securities LLC | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | Broker-dealer | Security-based swap dealer | | | | | | | Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1211 Avenue of the Americas | | | | | | | | | (No. and Street) | | | | | | | New York | New York | | | 10036 | | | | (City) | (State) | | | | | | | | | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Kraen Holm-Joergensen | 212-318-9625 | | khj.nybd@nordea.com | | | | | (Name) | (Area Code - Telephone Number)<br>(Email Address) | | | | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | RSM US LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 4 Times Square | New York | New York | | 10036 | | | | | | | | | | | | (Address) | (City) | (State) | | (Zip Code) | | | | 09/24/2003 | | | 49 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | |…Read the full text as markdown