Full text of SURETY FINANCIAL SERVICES INC.'s X-17A-5 filed 2020-02-25 (period 2019-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-36521 #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 ()(the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 1/1/19 | | | AND ENDING 12/31/19 | | |---------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------------------------------------------|---------------------|-------------------------------------| | | | MMfDDtYY | | -----------------------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | AME OF BROKER-DEALER: Surety Financial Services, Inc. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUS! ESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 3375 Park Avenue, Suite 3006 | | | | | | | | (No. and Street) | | | | Wantagh | | NY | | 11793 | | (Ctty) | | (State) | | (Ztp Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT TN REGARD TO THIS REPORT | | | | | | John J. Renck | | | | (516) 785-2355 | | | | | | (Area C()de Telephone Number) | | | | B. ACCOUNTANT JDENTIFICA TION | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose opinion is contained in this Report* | | | | | | Rubio CPA, PC | | | | | | | | (~a me - if individual, stare last, first, middle name) | | | | | | | | | | 2727 Paces Ferry Rd. SE, Building 2, Suite 1680 Atlanta | | | GA | 30339 | | | | | (State) | (Zip Code) | | CHECK ONE: | | | | | | I"<br>!certified Public Accountant | | | | | | Public Accountant | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e}(2)* > Potential 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 OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATIO…Read the full text as markdown