CFT Securities, LLC – ‘X-17A-5’ for 12/31/15

On: Friday, 2/19/16, at 1:42pm ET · Effective: 2/19/16 · For: 12/31/15 · Accession #: 1072132-16-3 · File #: 8-51345

Document/Exhibit Description Pages Size 1: X-17A-5 Annual Financial Report by a Broker-Dealer -- HTML 9K primary_doc.xml 3: STMT FIN COND Statement of Financial Condition -- PDF 99K STMT_FIN_COND 4: STMT FIN COND NOTES Notes to Statement of Financial Condition PDF 865K -- STMT_FIN_COND_NOTES 5: STMT INCOME Statement of Income -- STMT_INCOME PDF 109K 6: STMT CASH FLOW Statement of Cash Flows -- STMT_CASH_FLOW PDF 126K 16: STMT CHG SH EQY Statement of Changes in Stockholders', PDF 69K Partners' or Sole Proprietors' Equity -- STMT_CHG 7: COMP NET CAP Computation of Net Capital -- COMP_NET_CAP PDF 112K 8: COMP RESERV REQ Computation for Determination of Reserve PDF 86K Requirements -- COMP_RESERV_REQ 9: INFO POS CTRL REQ Information re: Possession or Control PDF 86K Requirements -- INFO_POS_CTRL_REQ 10: RECONCIL CAP RESERV Reconciliation (or Statement) re: PDF 90K Material Differences (or None) Between the FINRA FOCUS Report and Computation of Net Capital or Computation for Determination of Reserve Requirements -- RECONCIL_CAP_RESERV 11: EXEMP RPT Exemption Report -- EXEMP_RPT PDF 111K 2: ACCT RPT STMT FIN CO Accountant's Report re: Examination of PDF 357K Statement of Financial Condition -- ACCR_RPT_STMT_FIN_CO 12: ACCT RPT FIN RPT Accountant's Report re: Examination of PDF 749K Financial Report or Financial Statements -- ACCT_RPT_COMPL_RPT 13: ACCT RPT EXEMP RPT Accountant's Report re: Review of PDF 190K Exemption Report -- ACCT_RPT_EXEMPT_RPT 14: OTHER Other Disclosure -- OTHER_Futures PDF 87K 15: OTHER Other Disclosure -- OTHER_SIPCReport PDF 531K

X-17A-5: Submission Information

Report for the Period Beginning

12/1/15

and Ending

12/31/15

Type of Registrant

Broker-dealer

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Broker-dealer

CFT SECURITIES, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

5 VAUGHN DRIVE

Address 2

SUITE 302

City

PRINCETON

State/Country

NEW JERSEY

Mailing Zip/ Portal Code

08540

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Peter J. Krzystek

Telephone Number

609-759-5217

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

WithumSmith & Brown, PC

Address 1

465 South Street

Address 2

Suite 200

City

Morristown

State/Country

NEW JERSEY

Mailing Zip/ Postal Code

07960

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, John T. Ryan, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of CFT SECURITIES, LLC, as of 12/31/15, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

John T. Ryan

Title

Chief Executive Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

CFT Securities, LLC – ‘X-17A-5’ for 12/31/15

On: Friday, 2/19/16, at 1:42pm ET · Effective: 2/19/16 · For: 12/31/15 · Accession #: 1072132-16-3 · File #: 8-51345

Previous ‘X-17A-5’: ‘X-17A-5’ on 2/23/15 for 12/31/14 · Next: ‘X-17A-5’ on 2/17/17 for 12/31/16 · Latest: ‘X-17A-5’ on 2/22/18 for 12/31/17

Annual Financial Report by a Broker-Dealer — Form X-17A-5
Filing Table of Contents

X-17A-5 — Annual Financial Report by a Broker-Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

CFT Securities, LLC – ‘X-17A-5’ for 12/31/15

On: Friday, 2/19/16, at 1:42pm ET · Effective: 2/19/16 · For: 12/31/15 · Accession #: 1072132-16-3 · File #: 8-51345

Previous ‘X-17A-5’: ‘X-17A-5’ on 2/23/15 for 12/31/14 · Next: ‘X-17A-5’ on 2/17/17 for 12/31/16 · Latest: ‘X-17A-5’ on 2/22/18 for 12/31/17

Annual Financial Report by a Broker-Dealer — Form X-17A-5Filing Table of Contents

X-17A-5 — Annual Financial Report by a Broker-Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Annual Financial Report by a Broker-Dealer — Form X-17A-5
Filing Table of Contents