Full text of BROWN ASSOCIATES, INC.'s X-17A-5 filed 2021-09-29 (period 2021-07-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST A TES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill | Expires: | October 31, 2023 | |----------|-----------------------------| | | Estimated average burden | | | hours per response<br>12.00 | | | | OMB APPROVAL OMB Number: 3235-0123 | SEC FILE NUMBER | | |-----------------|--| | 8-15665 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | | REPORT FOR THE PERIOD BEGINNING<br>08/01/2020<br>MM/DDNY | | AND ENDING 07/31/2021<br>MM/DDNY | | |-------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|---------------|----------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | 819 Broad Street | | | | | | | (No. and Street) | | | | | Chattanooga | TN | 37402 | | | | (City) | (State) | | (Zip Code) | | | Hxl<br>Brwn | | | (Arca Code -Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report= | | | | | Rodefer Moss & Co., PLLC | (Name - if individual. stale last, first, middle name) | | | | | 608 Mabry Hood Road | Knoxville | TN | 37932 | | | (Address) | (City) | (State) | (Zip Code) | | | [R]certified Public Accountant<br>DPublic Accountant | DAccountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | CHECK ONE: | | | | | *must he supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. J 7a-5(e)(2)* Potentlal persons who are to respond to the collectlon of information contained in this form are not required to respond unless the form dlsplays a currently valid OMB control number. SEC 1410 (11·05) {1}------------------------------------------------ ### OATH OR AFFIRMATION | | , ,,<br>21 | |-------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | of<br>Jul<br>31 | are true and correct. I further swear (or…Read the full text as markdown