Full text of RED MOUNTAIN SECURITIES LLC's X-17A-5 filed 2023-02-23 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **RED MOUNTAIN SECURITIES LLC** **Statement of Financial Condition** **For the Period June 22, 2022 (Date of Approval) through December 31, 2022** {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | OMB APPROVAL | | |-----------------------------------|--| | OMB Number: 3235-0123 | | | xpires: Oct. 31, 2023 | | | stimated average burden hours per | | | esponse: 12 | | | SEC CILE NUMADED | | 8- 70831 # 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 | FILING FOR THE PERIOD BEGINNING | 06/22/2022<br>MM/DD/YY | AND ENDING | 12/31/2022<br>MM/DD/YY | | | | | | |-----------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------------------|--|--|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF FIRM: RED MOUNTAIN SECURITIES LLC | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | | & Broker-dealer<br>L Security-based swap dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | 205 DETROIT STREET, FLOOR 2 | | | | | | | | | | | (No. and Street) | | | | | | | | | DENVER | CO | | 80206 | | | | | | | (City) | (State) | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | BETTY TAO | 212-751-4422 | | btao@dfppartners.com | | | | | | | (Name)<br>(Area Code - Telephone Number) | | | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | | | | Mazars USA LLP | | | | | | | | | | | {Name - if Individual, state last, first, middle name) | | | | | | | | | 60 Crossways Park Drive West, Suite 301 | Woodbury | NY | 11797 | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | 10/08/2003 | | | 339 | | | | | | | (Date of Registration with PCADB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annu…Read the full text as markdown