Full text of PAULSON INVESTMENT COMPANY LLC's X-17A-5 filed 2021-03-22 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PAULSON INVESTMENT COMPANY, LLC Annual Financial Statements Year ended December 31, 2020 {1}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31,2023 Estimated average burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** SEC FILE NUMBER &-26807 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 01/01/20 | | AND ENDING 12/31/20 | | | | |---------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|----------------------------------|--|--| | | MM/DD/YY | | --------------------<br>MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF BROKER-DEALER: Paulson Investment Company, LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 5335 SW Meadows Road, Suite 465 | | | | | | | | (No. and Street) | | | | | | Lake Oswego | OR | | 97035 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Malcolm A. Winks | | | (312) 940-8327 | | | | | | | (Area Code- Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | Alvarez & Associates, Inc. Certified Public Accountants | | | | | | | | (Name - if individual, s/ale las/, firs/, middle name) | | | | | | 9221 Corbin Ave. Suite 165 | Northridge | CA | 91324 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | I I l<br>Certified Public Accountant | | | | | | | DPublic Accountant | | | | | | | OAccountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | *•ctaims 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…Read the full text as markdown