Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5 filed 2020-03-13 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STA TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | 0MB APPROVAL | | |-------------|--------------|-----------------------------------| | 0MB Number: | | 3235-0123 | | Expires: | | August 31, 2020 | | | | Estimated average burden | | | | hours per response , . , . 12.00 | | | | | # SEC FILE NUMBER 8-16309 **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING January 1, 2019 | | AND ENDING December 31, 2019 | | | | |----------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------------|--------------------------------|--|--| | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: EMPIRE STATE FINANCIAL, INC. | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 20 W Park Avenue, Suite 207 | | | | | | | | (No. and Street) | | | | | | Long Beach | NY | | 11561 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Bryan Glass | | | 516-442-1883 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | ------------------------------------<br>GR REID ASSOCIATES, LLP<br>-<br>- | | | - | | | | | (Name - if individual, state last, first, middle name) | | | | | | 7600 Jericho Tpke, Suite 400 | Woodbury | NY | 11797 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | lcertified Public Accountant | | | | | | | Public Accountant | | | | | | | a<br>Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5 (e)(2)* > **Potential persons who are to respond to the collection of Information contained** In **this form are not requir…Read the full text as markdown