Full text of LIBERTY ASSOCIATES, INC.'s X-17A-5 filed 2023-03-28 (period 2023-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART** Ill | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | SEC FILE NUMBER 8-31505 #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 02/01/2022 | AND ENDING __ Ol_/_31_!2_0_2_3 ---- | | | |--------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | MM/DD/YV | | | MM/DD/VY | | | | | | | | | | _ | | | | | | | | | | | | | | | | | (No. and Street) | | | | | NY | | | 10017 | | | | | (Zip Code) | | | | | | | 212-869-8224 | | | | | | | | | | | | | | | | | | | | | | | | | Tarzana | | | 91356 | | (City) | | | (Zip Code) | | | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>PERSON TO CONTACT WITH REGARD TO THIS FILING<br>w;th PCAOB)[;f apPllcablel | A. REGISTRANT IDENTIFICATION<br>L_ib_e_r_ty_A_ss_o_c_ia_t_es_,_In_c_.<br>___________________<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>(State)<br>(Area Code -Telephone Number)<br>B. ACCOUNTANT IDENTIFICATION<br>(Name - if individual, state last, first, and middle name)<br>FOR OFFICIAL USE ONLY | □ Major security-based swap participant<br>alindh@libertyai.com<br>(Email Address)<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports ar…Read the full text as markdown