Full text of ULTRAVIOLET SECURITIES, LLC's X-17A-5 filed 2020-08-19 (period 2020-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND REPORT PURSUANT TO RULE 17a-5(d) JUNE 30, 2020 PERIOD MAY 29, 2018 (COMMENCEMENT OF OPERATIONS) TO {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |----------|-----------------| | 8- 70151 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 05/29/18<br>AND ENDING 06/30/20 | | ----------- | | |-------------------------------------------------------------------|--------------------------------------------------------------------------|-------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Ultraviolet Securities, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 151 Bodman Place, Suite 301 | | | | | | (No. and Street) | | | | Red Bank | NJ | 07701 | | | (City) | (State) | (Zip Code) | | | Gary Peterson<br>(732)450-7462 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | Untracht Early LLC | | | | | | (Name - (f individual, state last, first, middle name) | | | | | 325 Columbia Turnpike, Suite 202 Florham Park | NJ | 07932 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | It/ I<br>Certified Public Accountant | | | | | Public Accountant | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond…Read the full text as markdown