Full text of LIBERTY ASSOCIATES, INC.'s X-17A-5/A filed 2023-03-31 (period 2023-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES ANO 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: 12 | | | | | SEC FILE NUMBER 8-31505 **FACING PAGE** | FILING FOR THE PERIOD BEGINNING 02/01/2022 | | | | AND ENDING __ 0_11_3_11_2_02_3 ___ _ | |---------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | | MM/0D/YY | | | A. REGISTRANT IDENTIFICATION | | | | | Liberty Associates, Inc.<br>NAME OF FIRM:<br>-----------------------------~-- | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[x) Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 501 Fifth Avenue, 15th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | | 10017 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Allison M. Lindh | 212-869-8224 | | | alindh@libertyai.com | | (Name) | {Area Code - Telephone Number) | | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Brian W. Anson, CPA | | | | | | | (Name - if individual, .state last, first, and middle name) | | | | | 18455 Burbank Blvd., #404 | Tarzana | | CA | 91356 | | (Addres.s) | (City) | | (State) | (Zip Code) | | September 15, 2005 | | 2370 | | | | rte<br>of ,.,,m,tioo<br>wlth PCAOBlllf appl<able] | | | | (PO.OB Re,;stcatioo N"mbec, lf appllcabl•I | | | FOR OFFICIAL USE ONLY | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See **17** CFR 240.17a•S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1,<br>Al…Read the full text as markdown