Full text of REGIMENT SECURITIES, LLC.'s X-17A-5 filed 2022-10-26 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Requi,red Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07/16/2021** MM/DD/YY SEC FILE NUMBER 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: REGIMENT SECURITIES, LLC. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer O Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer AND ENDING **06/30/2022** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 118 PARKER STREET | (No. and Street) | | | | | | |----------------------------------------------|---------|--------------------------------------|--|--|--| | NEWTON | MA | 02459 | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | STEPHEN BURNHAM 617-899-0304 | | STEVE.BURNHAM@REGIMENTSECURITIES.COM | | | | (Name) (Area Code - Telephone Number) (Email Address) #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # Goldman & Company, CPA's PC (Name -if individual, state last, first, and middle name) | 3535 Roswell Road Suite 32 Marietta | | | GEORGIA 30062 | | |-------------------------------------|-----------------------|---------|--------------------------------------------|--| | (Address) | (City) | (State) | (Zip Code) | | | 06/25/2009 | | 1952 | | | | | | | (PCAOB Reg;suat;oo N,mbe<, ;f apphcable) I | | | | FOR OFFICIAL USE ONLY | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained** in **this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, STEPHEN BURNHAM swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of REGIMENT…Read the full text as markdown