# BILL PARKER AGENCY X-17A-5 (2020-03-03) — Broker-dealer annual report - Company: BILL PARKER AGENCY - Form: X-17A-5 - Filed: 2020-03-03 - Period: 2019-12-31 - Accession: 0000076375-20-000001 - CIK: 76375 - File #: 8-20744 - Material weakness: No - Auditor: Cropper Accountancy Corporation - Auditor location: Walnut Creek, CA - Contact: Brenda L. Parker - Phone: 866-488-5222 - Signed by: Brenda L. Parker (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/76375/000007637520000001/BPAAuditReport2019.pdf --- {0}------------------------------------------------ # BILL PARKER AGENCY # (A PROPRIETORSHIP) Financial Statements and Supplemental Information with Reports of Independent Registered Public Accounting Firm December 31, 2019 {1}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: "VHVTU Estimated average burden hours per response.. . . . . 12.00 20744 **8-** SEC FILE NUMBER # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | 01/01/19
12/31/19
REPORT FOR THE PERIOD BEGINNING______________________________ AND ENDING______________________________ | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------|---------|--------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | A. | REGISTRANT IDENTIFICATION | | | | Bill Parker Agency
NAME OF BROKER-DEALER:
ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM I.D. NO. | | 4528 Millrace Road
___________________________________________________________________________________________________________________ | | | | | | (No. and Street) | | | | _____________________________________________________________________________________________________________________
Sacramento | CA | | 95864 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT
_____________________________________________________________________________________________________________________
BRENDA L. PARKER | | | (866) 488-5222
(Area Code – Telephone Number) | | B. | ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*
CROPPER ACCOUNTANCY CORPORATION
_____________________________________________________________________________________________________________________ | (Name – if individual, state last, first, middle name) | | | | 2977 YGNACIO VALLEY RD, #460
_____________________________________________________________________________________________________________________ | WALNUT CREEK | CA | 94598 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:
ナ
Certified Public Accountant
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Public Accountant
ナ | 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 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond** SEC 1410 (06-02) **unless the form displays a currently valid OMB control number.** {2}------------------------------------------------ # **OATH OR AFFIRMATION** ### I, \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ , swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ , as of \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, 20\_\_\_\_\_\_\_\_, 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: BRENDA L. PARKER BILL PARKER AGENCY DECEMBER 31 19 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | | __________________________________________________________________________________________________________________________ | | | |-------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|--|--| | | N/A
__________________________________________________________________________________________________________________________ | | | | | Palo
_________________________________________
Brenda | | | | | Signature | | | | | CEO
_________________________________________ | | | | | Title | | | | SEE ATTACHED JURAT
_________________________________________ | | | | | Notary Public | | | | | This report ** contains (check all applicable boxes): | | | | | ナ
(a) Facing Page.
X | | | | | ナ
(b) Statement of Financial Condition.
X | | | | | ナ
(c) Statement of Income (Loss).
X | | | | | ナ
(d) Statement of Changes in Financial Condition.
X | | | | | ナ
(e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital.
X | | | | | ナ
(f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. | | | | | ナ
(g) Computation of Net Capital.
X | | | | | ナ
(h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. | | | | | ナ
(i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3. | | | | | ナ | (j) A Reconciliation, including appropriate explanation of the Computation of Net Capital Under Rule 15c3-1 and the | | | | Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. | | | | | ナ | (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of | | | | consolidation. | | | | ナ (l) An Oath or Affirmation. ナ (m) A copy of the SIPC Supplemental Report. X ナ (n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. \*\**For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3).* {3}------------------------------------------------ **JURAT** | State/Commonwealth | VIRGINIA | )
of ___________________________
) | | | |--------------------------|---------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------|--|--| | | Fairfax
CityCounty of ______________________________ | ) | | | | 'ate | 03/02/2020 | Emily Annette Ott
On __________________, before me, _________________________________________ ,
NotaU\ Name | | | | Whe foregoing instrument | was | subscribed and sworn to before
me by: | | | | | Brenda L. Parker | ________________________________________________________________________. | | | | | | Name of AffiantV | | | | | | Emily Annette Ott
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
Signature:
NotaU\ 3XEOiF | | | | Notary&RPPLVVLRQ | | 7826268
Number:
_______________________ | | | | | | 11/30/2023
My Commission Expires:
__________________________ | | | | | | 1otDri]eG online XVinJ DXGioYiGeo coPPXnicDtion | | | ## **DESCRIPTION OF ATTACHED DOCUMENT** | Title or Type of Document: | | | Financial Statements and Supplemental Information
with Reports of Independent Registered Public Accounting Firm
_________________________________________________ | |----------------------------|-------------------------------------------------|---------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | Document Date: | 12/31/2019
_________________________________ | | | | Number of Pages (Z | notarial certificate): | 16
_____________ | | {4}------------------------------------------------ ### BILL PARKER AGENCY ## Table of Contents ## Page | Report of Independent Registered Public Accounting Firm | |---------------------------------------------------------| | Statement of Financial Condition | | Statement of Income and Proprietor's Equity | | Statement of Cash Flows | | Notes to the Financial Statements | | Schedule 1 - Computation of Net Capital | | Report of Independent Registered Public Accounting Firm | | Bill Parker Agency Exemption Report | | SIPC Certification of Exclusion from Membership | {5}------------------------------------------------ ![](_page_5_Picture_0.jpeg) 2700 Ygnacio Valley Road. Ste 270 Walnut Creek, CA 94598 (925) 932-3860 tel (925) 476-9930 efax www.cropperaccountancy.com ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ### To the Proprietor of Bill Parker Agency ### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Bill Parker Agency (the "Company") as of December 31, 2019, and the related statements of income and proprietor's equity, and cash flows for the year then ended, and the related notes and schedules (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31, 2019, and the results of its operations and its cash flows for the year then ended, in conformity with accounting principles generally accepted in the United States of America (GAAP). ### Basis for Opinion These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to fraud or error, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion. ### Auditors' Report on Supplemental Information The supplemental information contained in Schedule I - Computation of Net Capital Under Rule 15c3-1 has been subjected to audit procedures performed in conjunction with the audit of the Company's financial statements. The supplemental information is the responsibility of the Company's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In our opinion, the supplemental information is fairly stated, in all material respects, in relation to the financial statements as a whole. CROPPER ACCOUNTANCY CORPORATION Cropper Accountancy Corporation has served as the Company's auditor since 2014 Walnut Creek, California February 24, 2020 {6}------------------------------------------------ ### BILL PARKER AGENCY STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 ### ASSETS | Current Assets | | |----------------------------------------------------|-----------| | Cash and cash equivalents | \$ 16,997 | | Prepaid expenses | 166 | | Total Current Assets | 17,163 | | | | | Furniture and Equipment, at cost, less accumulated | | | depreciation of \$11,633 | | | Total Assets | 17.163 | | | | ### PROPRIETOR'S EQUITY Proprietor's Equity \$ 17,163 See accompanying notes and independent auditor's report {7}------------------------------------------------ | Commission and Trail Fees Revenue | \$ 108,092 | |----------------------------------------|--------------| | Expenses | | | Commissions, net | 14,486 | | Outside services | 247 | | Meetings | 1,053 | | Insurance | 3,967 | | Bank charges | 122 | | Miscellaneous | 300 | | Travel, lodging and meals | 39 | | Postage | 26 | | Regulatory fees | 2,125 | | Professional fees | 7,735 | | Global relay | 2,002 | | Computer and internet | 655 | | Total expenses | 32,757 | | Net income from operations | 75,335 | | Other Income | | | Interest income | | | Net income | 75,336 | | Proprietor's Equity, December 31, 2018 | ಿತ
17,735 | | Net income | 75,336 | | Proprietor's withdrawals | (75,908) | | Proprietor's Equity, December 31, 2019 | ಿ
17,163 | {8}------------------------------------------------ ### BILL PARKER AGENCY STATEMENT OF CASH FLOWS FOR THE YEAR ENDED DECEMBER 31, 2019 | CASH FLOWS FROM OPERATING ACTIVITIES: | | | | |-------------------------------------------------|-----|----------|-------| | Net income | | 75,336 | | | Adjustments to reconcile net income to net cash | | | | | provided by operating activities: | | | | | Changes in assets and liabilities: | | | | | Commissions receivable | | | 8,421 | | Prepaid expenses | | | | | Commissions payable | | | | | Net cash provided by operating activities | | 80,960 | | | CASH FLOWS FROM FINANCING ACTIVITIES: | | | | | Proprietor's withdrawals | | (75,908) | | | Net cash used in financing activities | | (75,908) | | | NET CHANGE IN CASH AND CASH EQUIVALENTS | | 5,052 | | | CASH AND CASH EQUIV ALENTS, BEGINNING OF YEAR | | 11,945 | | | CASH AND CASH EQUIV ALENTS, END OF YEAR | | 16,997 | | | SUPPLEMENTAL DISCLOSURE | | | | | Cash paid for interest | ਦੇਤ | | | | Cash paid for taxes | | | | See accompanying notes and independent auditor's report {9}------------------------------------------------ ### NATURE OF ACTIVITIES Bill Parker Agency (the "Company") is engaged in the sale of variable annuities and mutual funds to individuals, organizations and businesses in Northern California and Nevada. Commissions are paid by the issuing companies to Bill Parker Agency. The Company's operations are conducted from offices in a proprietor family residence. The financial position, results of operations and cash flows of the Company differ from those that would have been achieved had the Company operated in a separate facility. ### SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Basis of Presentation - the accompanying financial statements have been prepared on the accrual basis of accounting in accordance with accounting principles generally accepted in the United States of America. Revenue Recognition - The Company's revenues consist of commissions generated for the sale of annuities and mutual funds and trail fees. The Company recognizes revenue when persuasive evidence of an arrangement exists, delivery has occurred, the fee is fixed and determinable and collection of the fee is probable. Generally, these conditions are met, and thus, revenue is recognized upon issue of a commission statement from investment or insurance companies. Use of Estimates - Preparation of the financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenue and expenses during the reporting period. Actual results could differ from those estimates. Cash and Cash Equivalents - The Company considers all highly liquid investments with original maturities of three months or less to be cash equivalents. The Company maintains cash in one bank with FDIC insurance of up to \$250,000. At December 31, 2019, the cash balance in the bank account totaled \$16,997, which was less than the FDIC insurance limit of \$250,000. The Company carries no customer cash or securities and maintains SIPC exemption. Furniture and Equipment - The Company depreciates furniture and equipment using the straight-line method over the estimated useful lives of the assets, which are five to seven years. Furniture and equipment is fully depreciated as of December 31, 2019. {10}------------------------------------------------ ### BILL PARKER AGENCY NOTES TO THE FINANCIAL STATEMENTS (CONTINUED) YEAR ENDED DECEMBER 31, 2019 ### SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) 2. Income Taxes - As the Company is a proprietorship (pass-through entity), no provision has been made for federal or state income taxes. The tax liability, if any, is that of the sole proprietor. Lease Accounting - During the year-ended December 31, 2019, the Financial Accounting Standards Board implemented the new accounting standard ASC 842, Lease Accounting. This standard did not affect the Company in the current year because the Company has not entered into any leases. ### FURNITURE AND FOUIPMENT 3. Furniture and equipment consists of the following at December 31, 2019: | | | | Net | |----------------------|-----------|--------------|-------| | | | Accumulated | Book | | | Cost | Depreciation | Value | | Office furniture and | | | | | equipment | \$ 1,530 | S
1,530 | S | | Computer equipment | 10,103 | 10,103 | | | | \$ 11.633 | \$ 11,633 | S | ### 4 NET CAPITAL REQUIREMENT Pursuant to the net capital provision of Rule 15c3-1 of the Securities and Exchange Act of 1934, the Company is required to maintain net capital of not less than \$5,000. As of December 31, 2019, the Company's net capital was \$16,997. ### 5. SUBSEQUENT EVENTS Management has evaluated subsequent events through February 24, 2020, the date the financial statements were available to be issued. No additional adjustments to, or disclosures in, the financial statements were deemed necessary. {11}------------------------------------------------ ### BILL PARKER AGENCY SCHEDULE I COMPUTATION OF NET CAPITAL UNDER RULE 15c3-1 OF SECURITIES AND EXCHANGE COMMISSION DECEMBER 31, 2019 | Company equity
Non-allowable assets
Net capital | \$ 17,163
(166)
16,997 | |-------------------------------------------------------------------------------------------------------|------------------------------| | Greater of 6-2/3% of aggregate indebtedness (-0-)
or \$5,000 | 5,000 | | Net Capital in excess of requirement | \$ 11.997 | | Ratio of aggregate indebtedness (-0-) to net capital (\$16,997)
(required to be less than 15 to 1) | | The differences between net capital and aggregate indebtedness submitted by the Company when compared to the audited financial statements for 2019 were as follows: | | Aggregate
Indebtedness | Net Capital | Ratio | |--------------------------------------------------------------------|---------------------------|---------------------------------------|------------| | Per FOCUS Report
Change in Cash
Change in AR
Change in AP | \$ 8,947
(8,947) | \$ 22,371
432
(14,753)
8,947 | 0.399 to 1 | | Per statements as finalized | ട | \$ 16,997 | | {12}------------------------------------------------ ![](_page_12_Picture_0.jpeg) 2700 Ygnacio Valley Road, Ste 270 Walnut Creek, CA 94598 (925) 932-3860 tel (925) 476-9930 efax www.cropperaccountancy.com ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Proprietor of Bill Parker Agency We have reviewed management's statements, included in the accompanying Bill Parker Agency Exemption Report, in which (1) Bill Parker Agency identified the following provisions of 17 C.F.R. \$15c3-3(k) under which Bill Parker Agency claimed an exemption from 17 C.F.R. §240.15c3-3: (2)(i) (exemption provisions) and (2) Bill Parker Agency stated that Bill Parker Agency met the identified exemption provisions throughout the most recent fiscal year ended December 31, 2019 without exception. Bill Parker Agency's management is responsible for compliance with the exemption provisions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about Bill Parker Agency's compliance with the exemptions. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on the provisions set forth in paragraph (k)(2)(i) of Rule 15c3-3 under the Securities Exchange Act of 1934. CROPPER ACCOUNTANCY CORPORATION Walnut Creek, California February 24, 2020 {13}------------------------------------------------ ![](_page_13_Picture_0.jpeg) **\* Brenda Parker (866)488-5222 toll free voice (877)582-9005 fax brenda@billparkeragency.com** ss (877) 582-9005 toll free fax brenda@billparkeragency.com 12 November 2014 vvvv bbb bbb bbbb somethingnn bbb vvvvvvvvvvvvvvvvvv bbbbbbbbbb Dear Gerry & Betty: Dear Kathy, Bill Parker Agency Exemption Report 159 W Tuolumne RD #6 Turlock CA 95382 Kathleen Boucher March 24, 2011 g Gerald Parodi 940 Edgecliff Drive Reno, NV 89503-9408 Enclosed is the paperwork to update the beneficiary designations on your investment accounts with our agency. Please sign where indicated and return to me in the enclosed envelope along with either your new trust abstract or a copy of the title, trustee and successor trustee designation, and signature pages. Please call or email me if you are unsure of what we need from this description. Bill Parker Agency (the "Company") is a register broker-dealer subject to Rule 17a-5, promulgated by the Securities and Exchange Commission (17.C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. §240.15c3-3(d)(1) and (4). To the best of its knowledge and belief, the Company states the following: I have enclosed a performance statement for your accounts with our firm. As you can see your investments have been doing quite well. If you would like to lock in some of these gains by The Company claimed an exemption from 17 C.F.R. §240.15c3-3 under the following provisions of 17 C.F.R. §240.15c3-3(k)(2)(i). k-1 transferring a couple of years worth of income to the guaranteed interest accounts (paying 3-4%) now would be an excellent time. I can do this for Betty's account with either your telephone or written The Company met the identified exemption provisions of §240.15c3-3(k) throughout the most recent fiscal year ended December 31, 2014, without exception. 2019 (including email) request. Gerry's account requires his signature. Let me know if you would like to do this. I, Brenda Parker, swear or affirm, that to my best knowledge and belief, this Exemption Report is true and correct. needs. Please be aware that while we do our best to stay in contact with all of our clients, we will need your help in making sure that these reviews take place in a manner that meets your needs. Please contact me at the above numbers or email for reviews and for any questions you may have. Thank you I have also enclosed an investor information form which we are required to maintain for all securities investors. You may supply what information you choose and be assured that we only share your information with the investment company for the purposes of setting up and maintaining your account. Budapuhd Please return this form to us in the enclosed envelope. Thank you for your understanding. Title: CEO, CFO, CCO, FinOp for your business and your trust. We encourage you to continue the process of staying in touch with us and completing an investment review on an annual basis. This can be in person or via email and telephone contact as best suits your Date: February 25, 2015 February 20,2020 Sincerely, Brenda Parker gggg \*Financial Industry Regulatory Authority, Inc. **4528 Millrace Road, Sacramento, CA 95864 CA License # 0813052** **Please visit us on the web at www.billparkeragency.com** {14}------------------------------------------------ ![](_page_14_Picture_0.jpeg) 2700 Ygnacio Vallev Road, Ste 270 Walnut Creek, CA 94598 (925) 932-3860 tel (925) 476-9930 efax www.cropperaccountancy.com ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON APPLYING AGREED-UPON PROCEDURES RELATED TO AN ENTITY'S CLAIM FOR EXCLUSION FROM MEMBERSHIP IN SIPC To the Proprietor of Bill Parker Agency In accordance with Rule 17a-5(e)(4) of the Securities and Exchange Commission Act of 1934 and with the SIPC Series 600 Rules, we have performed the procedures enumerated below with respect to the accompanying Schedule of Form SIPC-3 Revenues of Bill Parker Agency for the year ended December 31, 2019, which were agreed to by Bill Parker Agency and the Securities Investor Protection Corporation (SIPC), solely to assist you and SIPC in evaluating Bill Parker Agency's compliance with the exclusion requirements from membership in SIPC under section 78ccc(a)(2)(A) of the Securities Investor Protection Act of 1970 during the year ended December 31, 2019 as noted on the accompanying Certification of Exclusion from Membership (Form SIPC-3). Bill Parker Agency's management is responsible for Bill Parker Agency's compliance with those requirements. This agreed-upon procedures engagement was conducted in accordance with attestation standards established by the Public Company Accounting Oversight Board (United States). The sufficiency of these procedures is solely the responsibility of those parties specified in this report. Consequently, we make no representation regarding the sufficiency of the procedures described below either for the purpose for which this report has been requested or for any other purpose. The procedures we performed and our findings are as follows: - 1) Compared the Total amount included in the accompanying Schedule of Form SIPC-3 Revenues prepared by Bill Parker Agency for the year ended December 31, 2019 to the total revenues in Bill Parker Agency's audited financial statements included on Annual Audited Report Form X-17A-5 Part III for the year ended December 31, 2019, noting no differences; - 2) Compared the amount in each revenue classification reported in the Schedule of Form SIPC-3 Revenues prepared by Bill Parker Agency for the year ended December 31, 2019 to supporting schedules and workpapers, noting no differences; - 3) Recalculated the arithmetical accuracy of the Total Revenues amount reflected in the Schedule of Form SIPC-3 Revenues prepared by Bill Parker Agency for the year ended December 31, 2019 and in the related schedules and workpapers, noting no differences. We were not engaged to, and did not conduct an examination, the objective of which would be the expression of an opinion on Bill Parker Agency's claim for exclusion from membership in SIPC. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. This report is intended solely for the information and use of the specified parties listed above and is not intended to be and should not be used by anyone other than these specified parties. CROPPER ACCOUNTANCY CORPORATION Walnut Creek, California February 24, 2020 {15}------------------------------------------------ | 6
201 | Securities Investor Protection Corporation
1667 K Street NW, Ste 1000
Washington, DC 20006-1620
Forwarding and Address Correction Requested
8- | Check appropriate boxes.
(i) its principal business, in the determination of SIPC, taking into account business of affiliated
entities, is conducted outside the United States and its territories and possessions; *
its business as a broker-dealer is expected to consist exclusively of:
the distribution of shares of registered open end investment companies or unit investment trusts;
(II) the sale of variable annuities;
(III) the business of insurance:
(IV) the business of rendering investment advisory services to one or more registered investment
companies or insurance company separate accounts;
((ii) it is registered pursuant to 15 U.S.C. 780(b)(11)(A) as a broker-dealer with respect to transactions in
securities futures products
Pursuant to the terms of this form (detailed below).
2-26-2018
Authorized Signature/Title
ID ate | |----------|------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 8
PC | 8-20744 FINRA DEC 03/18/1976
BILL PARKER AGENCY
4528 MILLRACE RD
SACRAMENTO, CA 95864-0826 | Securities Investor Protection Corporation
1667 K Street NW, Ste 1000
Washington, DC 20006-1620 | Form SIPC-3 # FY 201 9 ### Certification of Exclusion From Membership. TO BE FILED BY A BROKER-DEALER WHO CLAIMS EXCLUSION FROM MEMBERSHIP IN THE SECURITIES INVESTOR PROTECTION CORPORATION ("SIPC") UNDER SECTION 78ccc(a)(2)(A) OF THE SECURITIES INVESTOR PROTECTION ACT OF 1970 ("SIPA"). The above broker-dealer certifies that during the fiscal year ending 12/31/2019 to consist exclusively of one or more of the following (check appropriate boxes): [ (i) its principal business, in the determination of SIPC, taking into account business of affiliated entities, is conducted outside the United States and its territories and possessions; \* (ii) its business as a broker-dealer is expected to consist exclusively of: - (1) the distribution of shares of registered open end investment companies or unit investment trusts; - the sale of variable annuities; 010 - (III) the business of insurance; - (IV) the business of rendering investment advisory services to one or more registered investment companies or insurance company separate accounts; - [iii) it is registered pursuant to 15 U.S.C. 78(b)(11)(A) as a broker-dealer with respect to transactions in securities futures products; and that, therefore, under section 78ccc(a)(2)(A) of SIPA it is excluded from membership in SIPC. \*If you have any questions concerning the foreign exclusion provision please contact SIPC via telephone at 202-371-8300 or e-mail at asksipc@sipc.org to request a foreign exclusion questionnaire. The following bylaw was adopted by the Board of Directors: Interest on Assessments. ... If any broker or dealer has incorrectly filed a claim for exclusion from membership in the Corporation, such broker or dealer shall pay, in addition to all assessments due, interest at the rate of 20% per annum of the unpaid assessment for each day it has not been paid since the date on which it should have been paid. In the event of any subsequent change in the undersigned broker-dealer that would terminate such broker-dealer's exclusion from membership in SIP C pursuant to secc(a)(2)(A) of the undersigned broker-dealer will immediately give SIPC written notice thereof and make payment of all assessments thereafter required under section 78ddd(c) of the SIPA. Sign, date and return this form no later than 30 days after the beginning of the fiscal year, using the enclosed return envelope. Retain a copy of this form for a period of not less than 6 years, the latest 2 years in an easily accessible place. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.