Full text of LIBERTY ASSOCIATES, INC.'s X-17A-5/A filed 2022-04-26 (period 2022-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ DMB OMB APPROVA UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden # ANNUAL REPORTS SEC FILE NUMBER BER FORM X - -17A-5 8-31505 PART III | hours per response<br>12 | | | | |--------------------------|--|--|--| | | PART<br>III | | | | | |-------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|------------------------------------------------------------------------------|---------------------------|--|--| | | FACING<br>PAGE | | | | | | Information<br>Required<br>Pursuant | to Rules 17a-5,<br>17a-12,<br>and 18a- -7 under | the Securities | Exchange<br>Act of 1934 | | | | | 1/31/22 | | | | | | FILING FOR THE PERIOD<br>BEGINNING | AND ENDING | MM/DD/YY | | | | | | A. REGISTRANT<br>IDENTIFICATION | | | | | | Liberty Associates,<br>NAME<br>OF FIRM | Inc. | | | | | | TYPE OF REGISTRANT<br>(check all applicable<br>Broker- -dealer<br>Security- -based<br>Check<br>here if respondent | boxes)<br>Major<br>swap<br>dealer<br>is also an OTC derivatives<br>dealer | security- -based | swap<br>participant | | | | ADDRESS<br>OF PRINCIPAL<br>PLACE<br>501 Fifth Avenue,<br>15th Floor | OF BUSINESS:<br>(Do not use a P.O. box no.) | | | | | | | (No. and Street) | | | | | | New<br>York | NY | | | | | | (City) | (State) | | (Zip Code) | | | | PERSON<br>TO CONTACT<br>WITH<br>REGARD | TO THIS FILING | | | | | | Allison<br>M. Lindh | 212-869-<br>-8224 | | alindh@libertyai<br>.com | | | | (Name) | (Area Code - - Telephone<br>Number) | (Email Address) | | | | | | B. ACCOUNTANT<br>IDENTIFICATION | | | | | | INDEPENDENT<br>PUBLIC<br>ACCOUNTANT<br>Brian W. Anson,<br>CPA | whose<br>reports are contained | in this filing * | | | | | (Name | if individual,<br>state last, first, and middle | name) | | | | | 18455<br>Burbank<br>Blvd., #404 | Tarzana | CA | 91356 | | | | (Address)<br>September<br>15, 2005 | (City) | (State)<br>2370 | (Zip Code) | | | | (Date of Registration<br>with PCAOB)if | applicable) | (PCAOB<br>Registration | Number,<br>if applicable) | | | | | FOR<br>OFFICIAL<br>USE ONLY | | | | | | * Claims for exemption<br>from the requirement<br>accountant<br>must be supported<br>by a statement | that the annual<br>reports be covered<br>of facts and circumstances | by the reports of an independent<br>relied on as t…Read the full text as markdown