Full text of RFA SECURITIES LLC's X-17A-5/A filed 2024-08-01 (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 Decem her 31, 2023 Public Document {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | | | | SEC FILE NUMBER | | |---------|--|-----------------|--| | 8-70419 | | | | #### **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING _1_11_12_3 | ______ | ____<br>AND ENDING _1_2!_3_11_2_3<br>_ | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|---------------------------------------------|------------------------------|--| | | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: RFA Securities LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | 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) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Helene Berson | 415-203-3960 | | | hberson@fcfgroupholdings.com | | | {Name) | {Area Code -Telephone Number) | | {Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ryan & Juraska LLP | | | | | | | | {Name - if individual, state last, first, and middle name) | | | | | | 141 W. Jackson Blvd., Suite 2250 | Chicago | | IL | 60604 | | | (Address) | (City) | | (State) | (Zip Code) | | | 3/24/09 | | 3407 | | | | | T"<br>of Reg<stcatloo w<th PCAOBJ(of appUcable) | | | I<br>[eCAOB Reg>snatloo Nombe,, "appUcable) | | | | | 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…Read the full text as markdown