Full text of 4170 SECURITIES LLC's X-17A-5 filed 2025-04-01 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Report December 31, 2024 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 .. | ANNUAL REPORTS | | | | |----------------|--|--|--| | FORM X-17A-5 | | | | | | | | | | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per responsl!: 12 | SEC FILE NUMBER | | FORM X-17A-5 | | 8-71102 | | |-------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|--------------------------------------|--------------------------------------------|--| | | PART Ill | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | 12/31 /24<br>FILING FOR THE PERIOD BEG INNING 0 1/01 /24<br>AND ENDING | | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: 4170 Securities LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D M<br>D Security-based swap dealer | ajor security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 372 West Ontario Street, Suite 400 | | | | | | | (No. and Street) | | | | | Chicago | IL | | 60654 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Craig Silberberg | 312-883-3193 | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this fi ling*<br>RSM US LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 30 South Wacker Dr.<br>, Suite 3300 | Chicago | IL | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 9/24/2003 | | 49 | | | | T"<br>of Reg;w,1;00 w;th PCAOB)l;f appl;cablel | | | (PCAOB Reglst,at,oo N,mbec, ;f applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an i…Read the full text as markdown