Full text of LIBERTY ASSOCIATES, INC.'s X-17A-5 filed 2024-03-27 (period 2024-01-31). 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** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | | SEC FILE NUMBER | | |--|-----------------|--| 8-31505 #### **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 02/01/2023 MM/DD/VY AND ENDING 01/31/2024 MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Liberty Associates, Inc. TYPE OF REGISTRANT (check all applicable boxes): *Q* Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer 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 {City) {State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10017 (Zip Code) Allison M. Lindh 212-869-8224 alindh@libertyai.com {Name) {Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Brian W. Anson, CPA {Name - if individual, state last, first, and middle name) 18455 Burbank Blvd., #404 Tarzana CA {Address) (City) (State) September 15, 2005 2370 91356 (Zip Code) T' **of ReglS,,,tloo wl,h PCAOB)llf appll<ablel FOR OFFICIAL USE ONLY (PCAOB** ""''""'"" **Nombe<,** • **applkablej** I • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public 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 fo~m are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Allison M. Lindh , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Liberty Associates, Inc. as of January 31 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account cl…Read the full text as markdown