Full text of LIBERTY ASSOCIATES, INC.'s X-17A-5 filed 2021-03-25 (period 2021-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATF.S SECURITIFSANDEXCHANGECOMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB APPROVAL | | | |---------------------------|---------------|--| | 0MB Number: | 3235-0123 | | | Expires: | August31,2020 | | | Estimated average burden | | | | hours per response 12.00 | | | # SEC FILE NUMBER a-31505 #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 02/01 /20 | | AND ENDING 01 /31 /21 | ·---------- | | |----------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|-----------------------|------------------------------------|--| | | MM/DDNY | | MM/DDNY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Liberty Associates, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM 1.D. NO. | | | | | | | | | 501 Fifth Avenue, 15th Floor | | | | | | | (No. and Street) | | | | | New York | NY | 10017 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT | | | | | | AIIIOI\M. Undh | | | 212~9-8224 | | | | | | (Area Code - Telephone Nwnber) | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Brian W. Anson, CPA | | | | | | | (Name - If Individual, Slate last, first, middle name) | | | | | 18455 Burbank Blvd. Suite 404 Tarzana | | CA | 91356 | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report•<br>(Address) | (City) | (State) | (Zip Code) | | | | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | CHECK ONE:<br>§ | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | | *•Claims for exemption from the requirement that the annual report be covered by the opinion of on independent public accountant must be supported by a statement of facts and circumstances relied on as the basis/or the exemption. See Section 240.17o-5(e}(2)* > Potential **peraona** who are to rHpond to the collection of Information contained In thl• form **are** not required to reapond unlHa the form dlaplaya **a** currentlyvalld 0MB control number. SEC 1410 (11-05) {1}---------------------------…Read the full text as markdown