Full text of SERIESONE SECURITIES, LLC's X-17A-5 filed 2021-09-29 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # SERIESONE SECURITIES, LLC # FINANCIAL STATEMENT For the year ended June 30, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Olvffi APPROVAL 0MB Nwnber: 3235-0 123 Expires: October 31, 2023 Estimated average burden hours per response ... 12.00 | ANNUAL AUDITED REPORT | | |-----------------------|--| | FORM X-17A-5 | | | PART III | | ### **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 | | --------<br>07/01<br>/2020<br>MM/DD /YY | AND ENDING | 06/30/2021<br>MM/DD/YY | |-------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|-----------------------------------------|------------------------------------------------|--------------------------------| | | | A. REGISTRANT lDENTlFICA TION | | | | NAME OF BROKER -<br>DEALER: | | | | | | SERIESONE SECURITIES, LLC | FIRM ID. NO. | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 42 Broadway, Suite 12-129<br>(No. and Street) | | | | | New York | NY | | | 10004 | | (City) | (State) | | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Kathy Efrem | | | | (212)897-1686 | | | | | | (Area Code -<br>Telephone No.) | | | | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | HLB Gravier LLP | | | | | | | | | | | | | (Name - | | if individual, state last, first, middle name) | | | | | | | | | (Address) | Coral Gables<br>(City) | | FL<br>(State) | 33<br>134<br>(Zip Code) | | | | | | | | ~ Certified Public Accountant | | | | | | D<br>Public Accountant | | | | | | 396 Alhambra Circle Suite 900<br>CHECK ONE:<br>D<br>Accountant not resident in United States or any of its possessions. | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supp orted by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2).SEC* 1410 (3-9 1) SEC FILE NUMBER 8-69876 {2}------------------------------------------------ ### **AFFIRMATION** I. Kathy Efrem, affinn…Read the full text as markdown