Full text of CETERA FINANCIAL SPECIALISTS LLC's X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ CETERA FINANCIAL SPECIALISTS LLC (SEC I.D. No. 8-27082) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2018 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a PublicDocument. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response… 12.00 SEC FILE NUMBER 8-27082 #### **ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 ofthe Securities Exchange Act of 1934 and Rule 17a-5Thereunder** | REPORT FOR THE PERIOD BEGINNING | | 01/01/18 | AND ENDING | 12/31/18 | |-------------------------------------------------------------------------|------------------|--------------------------------------------------------|------------|-----------------------------| | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | | Cetera Financial Specialists<br>LLC | | | | OFFICIAL USE<br>ONLY | | | | | | FIRM I.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. BoxNo.) | | | | | | 200 North Martingale Road | | | | _ | | | (No. and Street) | | | | | Schaumburg<br>(City) | IL<br>(State) | | | 60173<br>(Zip Code) | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THISREPORT | | | | | | Mark Paul Shelson | | | | (320) 229-3191 | | | | | | (Area Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in thisReport* | | | | | | Deloitte & Touche LLP | | | | | | | | (Name - if individual, state last, first, middle name) | | | | 555 W 5th Street, #2700 | Los Angeles | | California | 90013 | | (Address) | (City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | | X<br>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 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).*…Read the full text as markdown