Full text of CETERA FINANCIAL SPECIALISTS LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ CETERA FINANCIAL SPECIALISTS LLC (SEC I.D. No. 8-27082) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2021 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document {1}------------------------------------------------ Public UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | SEC FILE NUMBER 8-27082 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 01/01/2021 12/31/2021 AND ENDING MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Cetera Financial Specialists LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer · [ Security-based swap dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1450 American Lane, 6th Floor, Suite #650 | | | (No. and Street) | | | | | | |----------------------------------------------------------------------------------------------------|---------|---------------------------------------------------------------------------|-----------------|--------------------------------------------|--|--|--| | Schaumburg | | | | 60173 | | | | | (City) | (State) | | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Tim Bowman | | (619) 881-5262 | | Tim.Bowman@cetera.com | | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Deloitte & Touche LLP | | | | | | | | | 555 W. 5th Street, Floor 2700 | | (Name - if individual, state last, first, and middle name)<br>Los Angeles | CA | 90013 | | | | | (Address) | | (City) | (State) | (Zip Code) | | | | | October 20, 2003 | | | 34 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts a…Read the full text as markdown