Full text of RFA SECURITIES LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ RFA Securities LLC Annual Audit Report December 31, 2023 Public Document {1}------------------------------------------------ | UNITED STATES | | | | | | |---------------|--|------------------------------------|--|--|--| | | | SECURITIES AND EXCHANGE COMMISSION | | | | | | | Washington, D.C. 20549 | | | | # ANNUAL REPORTS FORM X-17A-5 PART III | | Estimated average burden<br>hours per response: | 12 | | |--|-------------------------------------------------|----|--| | | SEC FILE NUMBER | | | 8-70419 OMB APF ROVAL OMB Number. 3235 0123 Expires: Nov. 30, 2026 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | AND ENDING 12/31/23 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|------------------------------------------------------------|---------------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 1/1/23 | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: RFA Securities LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | & Broker-dealer D Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 2929 Walnut Street, 8th Floor | | | | | | | | | (No. and Street) | | | | | Philadelphia | | PA | | 19104 | | | (City) | | (State) | | (Zip Code) | | | Helene Berson<br>(Name) | 415-203-3960 | (Area Code - Telephone Number) | (Email Address) | hbersoncpa@gmail.com | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | Ryan & Juraska LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 141 W. Jackson Blvd., Suite 2250 | Chicago | | 11 | 60,504 | | | | (City) | | (State) | (Zip Code) | | | 3/24/09 | | | 3407 | | | | (Date of Registration with PCAOB)(if applicable) | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Address) | | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | | 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)(1)(ii), if applicable. Persons who are t…Read the full text as markdown