Full text of SECFI SECURITIES, LLC's X-17A-5 filed 2023-03-29 (period 2022-12-31). 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, 2022 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | | | |---------------------------|-----------------|-----------|--| | OMB Number: | | 3235-0123 | | | Expires: October 31, 2023 | | | | | Estimated average burden | | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | | | | | 8<br>- 70457 | | | # ANNUAL REPORTS FORM X-17A-5 PART III 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 01/01/2022 MM/DD/YYYYY 12/31/2022 MM/DD/YYYYY A. REGISTRANT IDENTIFICATION NAME OF FIRM: SecFi Securities, LLC AND ENDING TYPE OF REGISTRANT (check all applicable boxes): X Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | San Francisco<br>CA<br>(State)<br>(City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Nathaniel Piauwasdy<br>415-939-5421<br>(Area Code -- Telephone No.)<br>(Name) | (No. and Street) | | 94111<br>(Zip Code) | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------|--------------------------------------------|---------------------| | | | | | | | | | | | | | | | | | | | | | | | Vieje@secfi.com | | | | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Citrin Cooperman & Company, LLP<br>(Name - if individual, state last, first, and middle name) | | | | White Plains<br>709 Westchester Avenue | | NY | 10604 | | (Address)<br>(City) | | (State) | (Zip Code) | | 11/2/2005 | | 2468 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | | | | | FOR OFFICIAL USE ONLY | | | \*Claims for exemption from the requirement that the annual 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not…Read the full text as markdown