Full text of PROSPERUM FINTECH HOLDINGS, LLC's X-17A-5 filed 2025-08-20 (period 2025-06-30). 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 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-70068 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 and ending 06/30/2025 filing for the period beginning 07/01/2024 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FRM: Avant-Garde Trading Securities TYPE OF REGISTRANT (check all applicable boxes): D Broker-dealer | Security-based swap dealer [ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 230 W. Monroe, Suite 845 (No. and Street) Chicago 60606 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Vrinda Arora (212) 668-8700 varora@acisecure.com (Area Code – Telephone Number) (Name) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* DCPA (Name - if individual, state last, first, and middle name) 2121 Avenue of the Stars #800 Century City CA 90067 (Address) (City) (State) (Zip Code) 09/15/2020 6567 (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 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 the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION | David John Gompert | | , swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------|--|--------------------------------------------------------------------------------------------|-------| | | | tinancial report pertaining to the firm of Avant Garde Trading Securities | as of | | 6/30 | | 2 2025 . is true and correct. I further swear (or affirm) that neither the company nor any | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as…Read the full text as markdown