Full text of WISDOMTREE SECURITIES, INC.'s X-17A-5 filed 2024-03-07 (period 2023-12-31). 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** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number. 3235-0123 | | | Expires: Nov 30, 2026 | | | Estimated averat~ burden | | | hours per response: 12 | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| 8-70847 **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 **\_\_\_ 11\_ 13 \_ I \_ 20\_ 2 \_ 2 \_\_\_ AND ENDING** \_\_\_ 12 \_ 13 \_ 112\_02 \_ <sup>3</sup> \_\_ \_ MM/DD/VY **MM/DD/YY A. REGISTRANT IDENTIFICATION** NAME OF FIRM: WISDOMTREE SECURITIES, INC. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 250 WEST 34TH STREET, 3RD FLOOR NEW YORK (City) (No. and Street) NY (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10119 (Zip Code) PETRANKA BADOVA (917) 267-3741 PBADOVA@WISDOMTREE.COM (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst & Young LLP One Manhattan West \_(Address) 10/20/2003 (Name - if individual, state last, first, and middle name) New York (City) 42 NY (State) 10001 (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if aoolicable) **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)(1)(ii), if applicable. Persons ~ho 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, RO~ERT JARRETT LILIEN swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of WISDOMTREE SECURITIES, INC. as of December 31 , 2 023 , is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person,…Read the full text as markdown