Full text of PENN SECURITIES LLC's X-17A-5 filed 2022-02-16 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: ct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER # **PART Ill** **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING May 11, 2021 (Inception) AND ENDING December 31, 2021 MM/DD/YY MM/DD/YY #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Penn Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): QI Broker-dealer [l Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | (No. and Street) | | | |--------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------|--------------------------|--------------------------------------------| | Seattle | Washington | | 98133 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Abid Ahmad | (206) 686-3132 | abid@penn-securities.com | | | (Name) | (Area Code -- Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION·<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | TPSTHAYER | (Name -<br>if individual, state last, first, and middle name) | | | | 1600 Highway 6, Suite 100 | Sugar Land | Texas | 77478 | | | (City) | (State) | (Zip Code) | | 07/14/2020 | | 6706 | | | | | | | | (Address)<br>of Registration with PCAOBl(lf applicable)<br>r<br>te | FOR OFFICIAL USE ONL y | | (PCAOB Registration Number, if applicable) | CFR 240.17a-5(e)(1)(i), 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 | |------------------------|----------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------…Read the full text as markdown