Full text of FBN SECURITIES, INC.'s X-17A-5 filed 2021-07-09 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer resoonse ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | | 8-30461 | **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 _ | ___ 0_4_<br>/0_1_/_2_0 _ | __ AND<br>ENDING _ | __<br>_ 0_3/_3_1_/2_1 _<br>_<br>_ | | | |------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|--------------------|-----------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: FBN Securities, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | | FIRM I.D. NO. | | | | 120 Broadway, 10th Floor | | | | | | | | (No. arid Street) | | | | | | New York | NY | | 10271 | | | | (City) | (Stale) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Richard Guilfoyle | | | 516-496-7100 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | | G.R. Reid Associates, LLP | | | | | | | | (Name - 1findividual, state las/, firs/, middle name) | | | | | | 7600 Jericho Turnpike | Woodbury | NY | 11797 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | ✓ !certified Public Accountant | | | | | | | Public Accountant | | | | | | | B<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 Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond uni ess the form displays a currently val id 0MB control number.** {1}-----------------…Read the full text as markdown