Full text of RED MOUNTAIN SECURITIES LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). 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 December 31, 2023 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | | OMB Number: 3235-0123 | | |---------------------------|--| | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response:<br>12 | | | | | OMB APPROVAL | SEC FILE NUMBER | |-----------------| | 8-70831 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2023 FILING FOR THE PERIOD BEGINNING 1/1/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Red Mountain Securities LLC TYPE OF REGISTRANT (check all applicable boxes): 1 Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 10250 Constellation Blvd 23rd FL (No. and Street) | Los Angeles | CA | 90067 | |----------------------------------------------|--------------------------------|----------------------| | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Betty Tao | 212-751-4422 | btao@dfppartners.com | | (Name) | (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, and middle name) | | | | | |--------------------------------------------------|------------------------------------------------------------|-----|---------|--------------------------------------------|-------| | 60 CROSSWAYS PARK DRIVE WEST, SUITE301 | Woodbury | | NY | | 11797 | | (Address) | (City) | | (State) | (Zip Code) | | | 10/03/2003 | | 339 | | | | | (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 required to respond unless the form displays a currently valid OM…Read the full text as markdown