Full text of SECFI SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **SECFI SECURITIES, LLC** Statement of Financial Condition December 31, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | 0MB APPROVAL | | | | |---------------------------|-----------|--|--| | 0MB Number: | 3235-0123 | | | | Expires: October 31, 2023 | | | | | Estimated average burden | | | | | hours per response | 12.00 | | | | | | | | #### **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** ## SEC FILE NUMBER **8** - **70457** **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | ____<br>0_1.,:./_o-'1/_2_0_2o | ____ | __<br>AND ENDING ____ 1_2'-/3_1.;./<br>_20_2_0<br>_ | |---------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|-----------------------------------------------------| | | MM/DDNYYY | | MM/DDNYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | | | | OFFICIAL USE ONLY | | SecFi Secu rit ies, LLC | | | FIRM ID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | 595 Pa cifi c Ave, 4th Floor | | | | | (No. and Street) | | | | San Franci sco | CA | | 94133 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Natha niel Piauwa sd y | | | 4 15-939-542 1 | | | | | (Area Code -- Telephone No.) | | | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Citrin Coope rma n & Compa ny, LLP | | | | | | (Name -- if individual, state last,first, middle name) | | | | 290 W. Mt. Pleasant Avenu e | Li vingst o n | NJ | 07039 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>Ej Certified Public Accountant | | | | | D Public Accountant | | | | | D Accountant not resident in United States or any of its possessions | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. l 7a-5(e)(2).* > **Potential persons who ar…Read the full text as markdown