Full text of GATSBY SECURITIES, LLC's X-17A-5 filed 2022-04-11 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # GATSBY SECURITIES, LLC (SEC NO. 8-70391) Annual Audited Report Form X-17a-5, Part TIT For the Year Ended December 31, 2021 {1}------------------------------------------------ **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 | | |-----------------|--| | 8-70391 | | #### **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | _____ 0<br>0_<br>20_<br>11_<br>11_<br>_<br>_<br>MM/DD/VY<br>A. REGISTRANT IDENTIFICATION<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>(No. and Street)<br>NY<br>(State) | _ AND ENDING _____ 1<br>NAME OF FIRM: __ G_a_t_sb_y_s_e_c_u_ritie__s_, _LL_c ______________________<br>D Major security-based swap participant<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | __<br>02_<br>_<br>_<br>_<br>_<br>_<br>MM/DD/ VY<br>_<br>10603 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | bill@finopsvcs.com | | | | | | | | | | | | | | | | | | | | | | | | | | | | | NJ | 07981 | | | | | | (Zip Code) | | | | | | 100 | | | | | | I | | | | 917 225 2478<br>Whippany | (Area Code - Telephone Number)<br>B. ACCOUNTANT IDENTIFICATION<br>(Name - if individual, state last, first, and middle name)<br>FOR OFFICIAL USE ONL V | (Email Address)<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this f…Read the full text as markdown