Full text of UPSIDE MARKETPLACE, LLC's X-17A-5 filed 2024-06-17 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | US<br>LLP<br>Asylum<br>Street,<br>Suite<br>9/24/2003 | Hartford<br>#2300 | CT<br>49 | 06103 | |------------------------------------------------------|---------------------|----------|---------------------------------| | RSM<br>225 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Samuel<br>J.<br>Fleischman | 347-255-1996 | | sfleischman@compliance-risk.com | | | | | | | | | | | | Brooklyn | NY | | 11201 | | | | | | | 10<br>Jay<br>Street | | | | | | | | | | | | | | | | | | | | Upside | Marketplace,<br>LLC | | | | | | | | | | | | | | | 01/01/2023 | | 12/31/2023 | | | | | | | | | | | | | | | 8-70911 | | | | | | | | | | | | | | | | | | | | | | | | | | {1}------------------------------------------------ #### OATH OR AFFIRMATION | Samuel J. Fleischman | | | , swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------------------------------|---------|--|-----------------------------------------------------------------------|-------| | tinancial report pertaining to the firm of Upside Marketplace, LLC | | | | as of | | 12/31 | . 2 023 | | | | is true and correct. I further swear (or affirm) that neither the company r partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. | Signature: | Dr. Fleight more 05/23/2024 | | |------------|-----------------------------|--| | Title: | Samuel J. Fleischman | | | CEO | | | ### See attached Jurat Certificate Notary Public Linda F. Peeples #### This filing\*\* contains (check all applicable boxes): - = (a) Statement of financial condition. - □ (b) Notes to consolidated statement of financial condition. - (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X). - = (d) Statement of cash flows. - = (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - □ (f) Statement of changes in liabilities subordinated to claims of creditors. - = (g) Notes to consolidated financial statements. - (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - □ (i) Computation of tangible net worth under 17 CFR 240.18a-2. - □ (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - □ (…