Full text of CETERA FINANCIAL SPECIALISTS LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). 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, 2019 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document {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 **ANNUAL AUDITED REPORT** SEC FILE NUMBER **FORM X-17A-5** 8-27082 I I # **PART III 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 | 01/01/19 | AND ENDING | 12/31/19 | | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|-----------------------------|--| | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | | | | Cetera Financial Specialists LLC | | | OFFICIAL USE | | | | | | ONLY<br>__________________ | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 200 North Martingale Road | | | | | | | (No. and Street) | | | | | Schaumburg | IL | | 60173 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Mark Paul Shelson | | | (320) 229-3191 | | | | | | (Area Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Deloitte & Touche LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 555 W 5th Street, #2700<br>Los Angeles | | California | 90013 | | | (Address)<br>(City) | | (State) | (Zip Code) | | | CHECK ONE: | | | | | | •<br>X<br>Certified Public Accountant | | | | | | •<br>Public Accountant | | | | | | •<br>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 Sect…Read the full text as markdown