# FINALIS SECURITIES LLC X-17A-5 (2024-04-01) — Broker-dealer annual report - Company: FINALIS SECURITIES LLC - Form: X-17A-5 - Filed: 2024-04-01 - Period: 2023-12-31 - Accession: 0001789982-24-000001 - CIK: 1789982 - File #: 8-70425 - Type: Broker-dealer - Material weakness: No - Auditor: Cropper Accountancy Corporation - Auditor location: Walnut Creek, CA - Contact: DENNIS AZARY - Phone: 4159487994 - Email: dennis@finalis.com - Website: finalis.com - Signed by: Brad Ziemba (Chief Executive Officer) Original filing: https://www.sec.gov/Archives/edgar/data/1789982/000178998224000001/finalispublicaudit23.pdf --- {0}------------------------------------------------ 4/1/24, 7:58 PM PDF to EDGAR {1}------------------------------------------------ {2}------------------------------------------------ - Page 1 - {3}------------------------------------------------ | | UNITED STATES | OMB APPROVAL
OMB Number: 3235-0123 | | | |------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|---------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | | | | | Expires: Nov. 30, 2026
Estimated average burden
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
(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}------------------------------------------------ ![](_page_7_Picture_2.jpeg) {8}------------------------------------------------ - Page 4 - {9}------------------------------------------------ | Cash | \$ 2947,529 | | |----------------------------------------|--------------|-----------| | Accounts Receivable | મ | 1,651,762 | | Prepaid Expenses and Other Assets | 4 | 250,738 | | TOTAL SSEES | \$ 4,850,029 | | | LIABILITIES AND MEMBER STOUTY | | | | Liabilities: | | | | Accounts Payable | S | 422,209 | | Accrued Expenses and Other Liabilities | 99 | 3,057,448 | | Total Liabilities | \$ 3.479,657 | | | Total Member's Equity | \$ 1,370,372 | | | TOTAL LIABILITIES & MEMBER'S EQUITY | \$ 4850,029 | | {10}------------------------------------------------ - Page 5 - {11}------------------------------------------------ {12}------------------------------------------------ - Page 6 - {13}------------------------------------------------ {14}------------------------------------------------ - Page 7 - {15}------------------------------------------------ {16}------------------------------------------------ # 4/1/24, 7:58 PM PDF to EDGAR - Page 8 - {17}------------------------------------------------ {18}------------------------------------------------ - Page 9 - Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.