Full text of EM SECURITIES LLC's X-17A-5 filed 2021-12-29 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # FINANCIAL STATEMENT # AND # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM # For the year ended September 30, 2021 {1}------------------------------------------------ ## **UNITED ST A TES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB Number: 3235-0123 | | | | | | |--------------------------|--|--|--|--|--| | Expires: Oct. 31, 2023 | | | | | | | Estimated average burden | | | | | | | hours per response: 12 | | | | | | SEC FILE NUMER 8- 67997 **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 **1 Q/Q 1 /20** MM/DDNY AND ENDING **09/30/21** --------- **MM** /0 D NY # **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: EM Securities LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 405 Lexington Ave, 20th Floor | | | (No. and Street) | | | | | |----------------------------------------------------------------------------|--|------------------------------------------------------------|-----------------|------------------------------|--|--| | New York | | NY | | 10174 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Kathy Efrem | | (212) 897-1686 | | kefrem@integrated .solutions | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing* | | | | | | | | WithumSmith+Brown, PC | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 200 JEFFERSON PARK, SUITE 400 | | Whippany | NJ | 07981-1070 | | | | (Address) | | (City) | (State) | (Zip Code) | | | (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) #### **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports ofan independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)( I )(ii), if applicable. **Persons who are to respond to the col…Read the full text as markdown