Full text of UPHOLD SECURITIES INC.'s X-17A-5 filed 2025-03-24 (period 2024-12-31). 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 # ANNUAL REPORTS FORM X-17A-5 PART II | OMB APPROVAL | | |--------------------------|--| | OMB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response: 12 | | | | | | SEC FILE NUMBER | |-----------------| | 8-46202 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of <sup>1934</sup> FILING FOR THE PERIOD BEGINNING 01/01/2024 AND ENDING MM/DD/YY MM/DD/YY 12/31/2024 A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Uphold Securities Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealerSecurity-based swap dealer Check here if respondent is also an OTC derivatives dealer Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) # 530 Fifth Avenue, Suite 3A | | (No. and Street) | | |----------------------------------------------|---------------------------------------------------------------------------|------------------------| | New York | NY | 10036 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Curt Snyder | 203-554-5542 | curt@jnksecurities.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | RSM US LLP | | | | | (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)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | 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 <sup>a</sup> 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 thecollection of information contained in thisform are not required to respond unless the form displays <sup>a</sup> currently valld OMB control number. {1}----------------------------------------…Read the full text as markdown