Full text of SECFI SECURITIES, LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). 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, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | | | | UIVIB APPROVAL | | | |--------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------------|--------------------------------------------|--| | Washington, D.C. 20549 | | | | OMB Number:<br>3235-0123 | | | | | | | | Expires:<br>Estimated average burden | October 31, 2023 | | | | | | | hours per response | 12.00 | | | | ANNUAL AUDITED REPORT | | | | | | | | | | | | SEC FILE NUMBER | | | FORM X-17A-5<br>PART III | | | | | | | | | | | | 8-70457 | | | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING | | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: SECFI SECURITIES, LLC | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | &Broker-dealer | _Security-based swap dealer | | | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | 615 BATTERY STREET, 6TH FLOOR | | | | | | | | | | (No. and Street) | | | | | | SAN FRANCISCO | | CA | | 94111 | | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | NATHANIEL PIAUWASDY | 415-939-5421 | | | VIEJE@SECFI.COM | | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | CITRIN COOPERMAN & COMPANY, LLP | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 50 Rockefeller Plaza | New York | | NY | | 10020 | | | (Address) | (City) | | (State) | | (Zip Code) | | | 11/02/2005 | | | | | 2468 | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | |…Read the full text as markdown