Full text of SIGNAL SECURITIES, INC.'s X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINANCIAL STATEMENTS DECEMBER 31, 2020 | Report of Independent Registered Public Accounting Firm . | 1 | |-------------------------------------------------------------------------------------------------------------------------------------------------|----| | Statement of Financial Condition | 3 | | (Loss)<br>Statement of Income | 4 | | Statement of Changes in Stockholders' Equity | 5 | | Statement of Changes in Liabilities Subordinated to the Claims<br>Satisfactory<br>Of General Creditors Pursuant to a<br>Subordination Agreement | 6 | | Statement of Cash Flows | 7 | | Notes to Financial Statements | 8 | | Supplementary Information Required by SEC Rule 17a-5: | | | Schedule I | 13 | | Report of Independent Registered Public Accounting Firm<br>on Applying Agreed-Upon Procedures | 14 | | Schedule of Assessment and Payment to the Securities<br>Investor Protection Corporation (SIPC) | | | Under<br>of the Securities and Exchange Commission<br>Rule 17a-5(e) (4) | 16 | | Report of Independent Registered Public Accounting Firm | 17 | | Exemption Report | 18 | {1}------------------------------------------------ Curt H. Osiek Michael A Patyk Paula J. Hunkier Lisa M. Wharton ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Shareholders of Signal Securities, Inc.: ## Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Signal Securities, Inc. (the Company) as of December 31, 2020, the related statements of income (loss), changes in stockholders' equity, changes in liabilities subordinated to the claims of general creditors pursuant to a satisfactory subordination agreement and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly in all material respects, the financial position of Signal Securities, Inc. as of December 31, 2020 and the results of its operations and its cash flows for the year then ended, in conformity with accounting principles generally accepted in the United States of America. ## Basis for Opinion These financial statements are the responsibility of Signal Securities, Inc.'s management. Our responsibility is to express an opinion on Signal Securities, Inc.'s financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight B…Read the full text as markdown