Full text of FINALIS SECURITIES LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ 4/1/24, 7:58 PM PDF to EDGAR {1}------------------------------------------------ {2}------------------------------------------------ - Page 1 - {3}------------------------------------------------ | | UNITED STATES | OMB APPROVAL<br>OMB Number: 3235-0123 | | | |------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|---------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | | | | | Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | | | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | 8-70425 | | | | | PART III | | | | | | 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 01/01/23 AND ENDING 12/31/23 | | | | | | MM/DD/YY | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Finalis Securities, LLC | | | | | | | Broker-dealer __ Security-based swap dealer __ Major security-based swap participant | | | | | Check here if respondent is also an OTC derivatives dealer | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 228 Park Avenue South, #85550 | (No. and Street) | | | | | New York | NY | 10003 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Dennis Azary | (415)948-7994 | | | | | (Name) | (Area Code - Telephone Number) | dennis@finalis.com<br>(Email Address) | | | file:///Users/stevensbigmac/Desktop/Edg-Finalis Public Audit-2024.04.01-22.36.02/finalispublicaudit.htm 4/19 {4}------------------------------------------------ - Page 2 - {5}------------------------------------------------ | Brad Ziemba | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------|--|--|---------------------------------------------------------------------|-------| | | | | financial report pertaining to the firm of Finalis Securities, LLC | as of | | 10/21 | | | . | | - - - - - - - - - - - - - - - - - - - - - {6}------------------------------------------------ - - - - - - - - Page 3 - {7}------------------------------------------------  {8}------------------------------------------------ - Page 4 - {9}------------------------------------------------ | Cash | \$ 2947,529 | | |----------…Read the full text as markdown