Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5 filed 2021-04-15 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNfflD5f A TES SECUIUTIESANDEXCHANGECOMMISSION **Wa1hlagton,** D,C, 2054!} ### 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated **average** burden houra oer **response .....** . 12.00 # ANNUALAUDITEDREPORT **FORM** X-17A•5 **PARTIII** | | SEC ALE NUMBER | |---------|----------------| | t-16309 | | **FACINO PAGE Information Required of Brokers and Dealers Pursuant to Section** 17 **oftbe Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BBGINNTNO January 1, 2020 | | | AND ENDING December 31, 2020 | | | |----------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-------------------|-------------------------------|--|--| | | MM/00/YV | | MM/DDfYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME Of' BROKER-DEALER: EMPIRE STA TE FINANCIAL, INC'<br>ADDRESS OF PRINCIPAL PLACE OP BUSINESS: (Do not use P.O. Box No,) | | OFFICIAL USE ONLY | | | | | | | | FIAM l,D, NO, | | | | 20 W Park Avenue, Suite 207 | | | | | | | | (No. and Slrool) | | | | | | Long Beach | NY | | 11561 | | | | (Cit)') | (Stale) | | (Zip Code) | | | | NAME AND TELBPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | Boyan Olan | | | 016-4-42•16113 | | | | | | | (Aru Code - Tel~phonc Number) | | | | | B. ACCOUNTANT IDENTlll'ICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is oontalned in this Report• | | | | | | | GR REID ASSOCIATES, LLP | | | | | | | | (Name - lf/r,dlv/dwl, .11a1• /a11, /1"1, mtddft nam,) | | | | | | 7600 Jericho Tpke, Suite 400 | Woodbury | NY | 11797 | | | | (Address) | (City) | (Slate) | (Zip Code) | | | | CHECK ONE; | | | | | | | Certlflod Public Accountant | | | | | | | B<br>1ub llc Accountant<br>1 | | | | | | | | | | | | | | Accountont not resident In United Statca or any of its possessions, | | | | | | | | FOR OPPICIAL USE ONLY | | | | | *'Claims for exempllon from the requirement that the annual report be cOYered b~ the opinion of an Jndependcmt public account,;m/ must be supported b)' a statement of facts and cfrcumstam:e.r r,/led 11n as the basis for the exemption. See Sec/ton 240, I 7u-5(e)(2)* SEC 1410 (11·05) Polontlal poraone who ro to respond **lo** th collocllon of Information conlolned In thl <sup>111</sup>form oro not roqulrod to ruapond un1oaa tho lorm dl ph:1y1 acurronlly volld 0MB contrcl num…Read the full text as markdown