Full text of PFLUEGER & BAERWALD INC.'s X-17A-5 filed 2020-05-29 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Pflueger & Baerwald Inc.** **Report Pursuant to Rule 17a-5(d)** **Financial Statements For the Year Ended March 31, 2020** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 QMB APPROVAL 3235-0123 QMB Number. August 31, 2020 Expires: Estimated average burden hours per response . ... . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-17615 | #### 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 BEGINING | APRIL 1, 2019 | AND ENDING | MARCH 31, 2020 | |--------------------------------------------------------------------------|--------------------------------------------------------------------|------------|-----------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | Pflueger & Baerwald Inc. | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 220 Sansome Street, Suite 1090 | | | | | (No. and Street) | | | | San Francisco | CA | | 94104-2725 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Joseph B. Ruby | | | 415-421-4171 | | | | | (Area Code - Telephone No.) | | | B. ACCOUNTANT DESIGNATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | OHAB AND COMPANY, PA | | | | | (Name - if individual, state last, first, middle name) | | | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND | | ELORIDA | 32751 | | (Address and City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | X Certified Public Accountant | | | | | | | | | | | | | | | Public Accountant | Accountant not resident in United States or any of its Possessions | | | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the 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 required to respond unless the form displays a current valid OMB control number. SEC 1410 (06-02) {2}-----------------------------------------…Read the full text as markdown