Full text of MOUNTAINSIDE SECURITIES LLC's X-17A-5 filed 2023-03-17 (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 8-70157 **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 ____ 0 | ___<br>110_1<br>2<br>02_<br>12_ | | ____ 12<br>1<br>0<br>22 _<br>31_<br>12_ | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------------------------------|--|--|--| | | _<br>_<br>MM/DD/VY | AND ENDING | _<br>_<br>_<br>_ _<br>MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM:<br>Mountainside Securities LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>1:8(' Broker-dealer<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 450 Springfield Avenue, Suite 201 | | | | | | | | | (No. and Street) | | | | | | | Summit | NJ | | 07901 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Ryan Posner | 908-277-2500 | rkposner@mtnsecurities.com | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>CliftonLarsonAllen LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 293 Eisenhower Parkway | Livingston | NJ | 07039 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 10/16/2003 | | 655 | | | | | | rte of Reg;m,Uoa w;th PCAOB )(ff apphcable)<br>( PCAOB ,,,;m,uoa N"mbe,, ff appl;ca ble) I<br>FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.…Read the full text as markdown