Full text of OPTIONALITY SECURITIES, LLC's X-17A-5 filed 2025-06-16 (period 2025-03-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 sec file number 8-70680 # ANNUAL REPORTS FORM X-17A-5 | | | | | U-1 UUUV | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|--------------------------------------------|--| | | PART III | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | filing for the period beginning 04/01/2024 | | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ | | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Optionality Securities, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ച Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 200 Barr Harbor Drive, Suite 400 | | | | | | | | (No. and Street) | | | | | | West Conshohocken | | PA | | 19428 | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Alec Baum | | (443) 812-3308 | | alec@optionalitytrading.com | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | B. Accountant Identification | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Nawrocki Smith | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 100 Motor Parkway, Suite 580 Hauppauage | | | NY | 11788 | | | (Address) | (City) | | (State) | (Zip Code) | | | 03/04/2009 | | | 3370 | | | | (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 of an independent public accountant must be supported by a statement of facts and…Read the full text as markdown