Full text of ZIMBALIST SMITH INVESTMENTS, LLC's X-17A-5 filed 2020-02-11 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Zimbalist Smith Investments, LLC Report Pursuant to Rule 17a-5 Financial Statements For the Year Ended December 31, 2019 {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION 1hln1ton, D.C. 10549 ### **ANNUAL AUDITED REPORT FORM X•17A-5 PART** Ill 0MB APPROVAL OM8Number: 3235..()123 Expires: August 31, 2020 Estimated average burden hour8 rres nae ...... 12.00 > SEC FILE NUMBER B-28971 FACING PACE Jorormation Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchan1e Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 1/01/2019 | ---------<br>AND ENDING 12/31/2019 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|-------------|--------------------------------| | | MMIDl>IYY | | -<br>MMIDU/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Zimbalist Smith Investments, LLC<br>ADDRESS OF PRINCIPAL PI.ACI:. OF BUSINESS: (Do nol use P.O. Dox No.)<br>2900 Clearwater Drive, Ste 320 | | | OFFICIAL USE ONLY | | | | | FIRMI.D. NO, | | | (No and Slrect) | | | | | ()ff. | 97703 | | | (Clly) | (Sia,~) | (I.Ip Codd) | | | NAME AND 'l'ELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | (Arn Code - Tclcphon, N11mber) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PllRLIC ACCOUNTANT whose opinion is conlained in 1his Repon•<br>Alvarez & Associates, Inc. Certified Public Accountants<br>9221 Corbin Avenue, Suite 165 Northrldge | (Name if i1Hlll'ld1111/, stall! /1111. flm. 11t1ddl# "",, | CA | 91324 | | (Addrns> | (('II)) | (SIIIC) | (Zip Code) | | CHECK ON£:<br>§<br>Certilied Public Accounlanl<br>Public Accoun1an1<br>f | Accountanl not ricsident in United Slates or an)' of its possessions.<br>POii OPPICIAL UII! ONLY | | | *•claims/or exemption from lhe req11lrgn11mt tllat tire a11n11al n!pnrt be coJ·e,~d by the opinion of an Independent public acco11ntant ,nr,st be suppurled by a slatement of facts and circumstances relied on a:r the basis for th•* uempt/011. *See Sec1ion 140. /7a-J(e)(1)* > Potenll I per on■ who re to re pond to the oolleollon of lnform llon contained In Ihle rorm re not **required** to , .. pond unleH the formd .. pf1yu currently lld OM8control num…Read the full text as markdown