Full text of BRUCE A. LEFAVI SECURITIES, INC.'s X-17A-5/A 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}------------------------------------------------ # BRUCE A. LEFAVI SECURITIES, INC. # FINANCIAL STATEMENTS and SUPPLEMENTARY INFORMATION December 31, 2019 {1}------------------------------------------------ #### BRUCE A. LEFA VI SECURITIES, INC. INDEX TO FINANCIAL STATEMENTS December 31. 2019 | Introductory Section: | | |---------------------------------------------------------------------------------------------------------------------------------------|----| | Facing Page Annual Audited Report | | | Oath or Affirmation | 2 | | Financial Section: | | | Report of Independent Registe1·ed Public Accounting Firm | 3 | | Statements of Financial Condition | 5 | | Statements of Operations | 6 | | Statements of Changes in Stockholder's Equity | 7 | | Statements of Cash Flows | 8 | | Notes to Financial Statements | 9 | | Supplemental Information: | | | Schedule 1 -Computation of Net Capital Under<br>Rule 15c3-1 of the Securities and Exchange Commission | 15 | | Schedule 2-<br>Computation for Determination of Reserve Requirements<br>Under Rule 15c3-3 of the Securities and Exchange Commission | 16 | | Schedule 3 -Information Relating to Possession or Control Requirements<br>Under Rule 15c3-3 of the Securities and Exchange Commission | 17 | {2}------------------------------------------------ UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 # ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill NUMBER | SEC FILE | | |----------|--| | 8-26943 | | #### 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 _ ___,0!!1!.l/0!.!1lul29 | | ___<br>AND ENDING -----'-'12,_,/3'-'1ul1z9 | __<br>_ | | | |-------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------|--------------------------------------------|-----------------------------------|--|--| | | MM/DDNY | | MM/DDNY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER:<br>BRUCE A. LEF A VI SECUR!TIES, INC. | | | OFFICIAL USE ONLY<br>FIRM !D. NO. | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 2323 FOOTHILL DRIVE, SUITE 100 | | | | | | | | (No. And Street) | | | | |…Read the full text as markdown