Full text of UNEST 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}------------------------------------------------ #### UNITED STATES SECURmEs AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMll Af!J>.ROtJA• | | |-------------------------------|--| | 0MB tfumbt!r: )23~-0123 | | | l;~t>:;; Otl, 31, 2023 | | | Es1Jmaltd awme b:wden | | | hours per Je'Sp(ll)St':<br>12 | | | | | ## ANNUAL REPORTS ## FORM X-17A-5 ## PART IU | \$~C Fil[ NIIM!lfR. | | |---------------------|--| | 8-70576 | | ## FACING **PAGE** information R~~ul~d Pursuant to Ruin l7a-5, l7a•ll, and iaa-7 undCI" the Se~,urllk\$ fxehange AC\ of 1934 | FtLING FOR THE PERIOD BEGINNING | ________<br>1i1/2021 | AND ENDING | | _______<br>12/31il021<br>_<br>MM/00/YY | | |-----------------------------------------------------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------|---------|---------------------------------------------|--| | | MM/0D/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: _u_N_e_st_s_e_cu_n_·u_es_._Lc | ___________________ | | | _ | | | TYPE OF REGISTRANT {check all applicable boxes}:<br>ii Broker-dealer<br>0 Chee ~ re ;f resl>Ql'idimt i\$ also an OTC derlva1ivcs dealer | O security•based swap dealer | D Major securrtv•based swap participant | | | | | ADDRESS or Pill 'Cl?AL PLACE OF BUSINESS: (Do not use a P.O. box no.j | | | | | | | 51·61 Lankershim Blvd #250 | | | | | | | | (No. an,d Stre~) | | | | | | North Hollywood | CA | | | 91601 | | | (tltyJ | (S1ilre) | | | {ZlpCOIW] | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Daniel Adams | 929<i66-6600 | | | dan@unestsecurities.com | | | {Name) | | | | | | | | B. ACCOUNTANT IOENTlFICATION | | | | | | INDEPENDENT PUSLIC ACCOUNTANT whose reports are contained io this filing•<br>Davila Advisory LLC | | | | | | | | | | | | | | 1 0135 Manchester Rd, Smte 206 | Stlouis | | MO | 63122 | | | (A<fdre») | (City) | | (State} | | | | 11/21/2019 | | 6661 | | | | | (Oate of Reiustrat,on With PCAOBIHI ilDDlk.al>~) | f-OR OFFICIAt US£ ONLY | | | f PCAOB R~lstratlon Numbe-r. lf aociiul>lel | | • dalms for exemption from tlu,? req1,1lrernent that the annt!~I reports be wvered by the reports of an lnd1!p,endent puhlic accountant must be supported by ii itatement of facts and circumstances relied on as the ba:iis of the exemption. See 17 CfR 240.17a-5!e}(1l{U,. if applicable. *Pe:NOM* who •r-e to respond to the w;llection of lrdonnatlon contalnt,tl In thb fon11 ere ,,..t re…Read the full text as markdown