Full text of UPHOLD SECURITIES INC.'s X-17A-5 filed 2024-03-13 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURmES AND EXCHANGE COMMISSION Washington, D.C. 20549 | 0MB Number: 3235-0123 | | |---------------------------|--| | Expires: Nov. 30, 2026 | | | Estimated average burden | | | 12<br>hours per response: | | | | | SEC FILE NUMBER 8-46202 # ANNUAL REPORTS FORM X-17A-S PART Ill **FACING PAGE** Information **Required** Pursuant to Rules 17a-5, 17a-12, and 18a·7 under the Securities **Exchar11e** Act of 1934 | | MM/00/YY | MM/DD/VY | |--------------------------------------------|----------|-----------------------| | FILING FOR THE PERIOD BEGINNING 01/01/2023 | | AND ENDING 12/31/2023 | | | | | **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Uphold Securities Inc. TYPE OF REGISTRANT (check all applicable boxes): Check here if respondent is also an OTC derivatives dealer Broker-dealer O Security-based swap dealer Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 530 Fifth Avenue, Suite 3A | | (No. and Street) | | | | |---------------------------------------------------------------------------|------------------------------------------------------------|---------|-----------------|------------------------| | New<br>York | | NY | | 10036 | | (Oty) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Curt<br>Snyder | 203-554-5542 | | | curt@jnksecurities.com | | (Name) | (Area Code - Telephone Number) | | (Emall Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained In this filing• | | | | | | US<br>LLP<br>RSM | | | | | | | (Name - if Individual, state last, first, and middle name) | | | | | 30 South Wacker Drive, Suite 3300 Chicago | | | IL | 60606 | | (Address) | (City) | (State) | (Zip Code) | |--------------------------------------------------|----------------------|---------|--------------------------------------------| | 09/24/2003 | | 49 | | | (Date of Registration with PCAOB)(lf applicable) | | | (PCAOB Registration Number, If applicable) | | | FOR OFFIOAL USE ONLY | | | | | | | | • daims 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 <sup>17</sup> CFR 240.17a-S(e)(l)(II), If appllcable. Persons who are *to* respond to the collection of Information **contained** in th…Read the full text as markdown