Full text of HAROLD H. OSHIMA'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}------------------------------------------------ # PUBLIC **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | QMB APPROVAL | | | | |---------------------------|------------------|--|--| | QMB Number. | 3235-0123 | | | | Expires: | October 31, 2023 | | | | Estimated average burden | | | | | hours per resoonse 12.00 | | | | ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | | |-----------------|--|--| | 8-27123 | | | **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 | ___<br>___<br>J_A_N_U_A_R_Y_t,_2_02_0<br>MM/DDNY | AND ENDING | DECEMBER 31, 2020<br>MM/DDNY | | | |----------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|--------------------|------------------------------|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER DEALER: | OSHIMA & ASSOCIATES | | OFFICAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | | | 21 MERCHANTS ROW, 5TH FLOOR | | | | | | | (No. and Street) | | | | | | BOSTON | MA | | 02109 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>HAROLD OSHIMA<br>617-523-1527 | | | | | | | | | | (Area Code -Telephone No.) | | | | | B. ACCOUNTANT DESIGNATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | ORAB AND COMPANY, PA | | | | | | (Name - | if individual, state last, first, middle name) | | | | | | 100 E. SYBELIA AVENUE, SUITE 130, MAITLAND<br>(Address and City) | | FLORIDA<br>(State) | 32751<br>(Zip Code) | | | | CHECK ONE:<br>[XI Certified Public Accountant<br>D Public Accountant<br>D Accountant not resident in United States or any of its possessions | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | *Claims for exempt ion from the requirement that the annual audit be covered by the opinion of an independent public accountant | | | | | | *must be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See section 240. /7a-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 vali…Read the full text as markdown