Full text of THE INVESTMENT CENTER, INC.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIF.SANDEXCHANGECOMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oor res'"""'nse ...... 12.00 | SEC FILE NUMBER | | |-----------------|--| | •-35826 | | | | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | REPORT FOR THE PERIOD BEGINNING 01 /01 /2020 | | ___<br>AND ENDING 12/3_1/2~2_0 | | | __<br>_ | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|------------------------------------------------------------------------------------------------------|--------------|----------------|-------------------------------|--| | | | !-<IM/UD/YY | | MMfDD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: The Investment Center, Inc. | | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM l.D. NO. | | | | 1420 US Highway 206 North, Suite 210 | - | -- -- , ________ _ | | | -------· ---- | | | | | (No. and Slreet) | | | | | | Bedminster | New Jersey | | | 07921 | | | | (City) | | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>-------------------·------------<br>Ralph J. DoVl!o | | | | (908) 707 4422 | ---- | | | | | | | | (Area Code - Tdephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report•<br>Morey, Nee, Buck & Oswald, LLC<br>---·--· | | ------------<br>(Name - l/md1vldual, Hate hut.first, middlt namt) | | | ----··---- | | | ----<br>2571 Baglyos Circle, Suite B20 Bethlehem | | | Pennsylvania | | 18020 | | | (Address) | | (City) | (State) | | (Zip Code) | | | -<br>-<br>CHECK ONE'<br>]/'!certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | -<br>- | | - | | | | | | __ | | | j | | | F<br>L | | ---~FOR_(!fFICIAL USE Olt.LY | | | | | | •Claims for e.xemptionfi·om<br>must be supponed by a statement of facts and c:ircumstances relied on as the basis far the exemp/ion. See Section 240. /7a-5(e}{2) | | the requirement that the annual report be covered by the opinion…Read the full text as markdown