Full text of BATES SECURITIES, INC.'s X-17A-5 filed 2025-05-05 (period 2025-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **Bates Securities, Inc. Table of Contents** | Report oflndependent Registered Public Accounting Firm<br><br><br><br>1 | |----------------------------------------------------------------------------------------------------------| | Financial Statements: | | Statement of Financial Condition 2 | | Statement of Operations<br><br><br><br><br><br><br><br><br><br><br><br><br><br><br><br><br><br><br><br>3 | | Statement of Changes in Stockholder's Equity .4 | | Statement of Cash Flows<br><br><br><br><br><br><br>5<br><br><br><br> | | <br><br>6<br>Notes to the Financial Statements<br><br><br><br><br><br><br><br> | | Computation of Net Capital Under SEC Rule 15c3-1 10 | | Report oflndependent Registered Public Accounting Firm on Management's | | Exemption Report 11 | | Management's Assertion ofExemption 12 | {1}------------------------------------------------ # **THOMAS FAUST, CPA** Certified Public Accountant 17 4 Coldbrook Ct. Lafayette, IN 47909 (765) 267-1156 thomasfaustcpa2@gmail.com ## **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Board of Directors and Stockholder of Bates Securities, Inc. ### **Opinion on the Financial Statements** I have audited the accompanying statement of financial condition of Bates Securities, Inc., as of January 31, 2025, the related statements of operations, changes in stockholder's equity, and cash flows for the year then ended, and the related notes and schedules (collectively referred to as the financial statements). In my opinion, the financial statements present fairly, in all material aspects, the financial position of Bates Securities, Inc. as of January 31, 2025 and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. ### **Basis for Opinion** These financial statements are the responsibility of Bates Securities, lnc.'s management. My responsibility is to express an opinion on Bates Securities, lnc.'s financial statements based on my audit. I am a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and am required to be independent with respect to Bates Securities, Inc, in accordance with the U.S. federal securities laws and the applicable rules and the regulations of the Securities and Exchange Commission and the PCAOB. I conducted my audit in accordance with the standards of the PCAO…Read the full text as markdown