Full text of RFA SECURITIES LLC's X-17A-5/A filed 2024-08-09 (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** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | | | | SEC FILE NUMBER | | |---------|--|-----------------|--| | 8-70419 | | | | **PART** Ill **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\_11\_12\_3 \_\_\_\_\_\_ AND ENDING \_1\_21\_3\_1\_/2\_3 \_\_\_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM : RFA Securities LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ 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.) 2929 Walnut Street, 8th Floor (No. and Street) Philadelphia PA (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 19104 (Zip Code) 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\* Ryan & Juraska LLP (Name - if individual, state last, first, and middle name) 141 W. Jackson Blvd. , Suite 2250 Chicago (Address) 3/24/09 (City) 3407 IL (State) 60604 (Zip Code) l'" **of RegOSUaUoo wO<h PCAOB** )\;f **appl;cable) FOR OFFICIAL USE ONLY )PCAOB seg;s,,auoo Norn bee,** If **applicable)** I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an 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-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}------------------------------------------------ #### OATH OR AFFIRMATION I. Anish Vora swear (or affirm) that, to the best of my knowledge and belief, the as of financial report pertaining to the firm of RFA Securities LLC December 31 . . , 2023 . is true…Read the full text as markdown