Full text of SURETY FINANCIAL SERVICES INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). 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** | 0MB APPROVAL | | |--------------------------|--| | OMS Number: 3235-0123 | | | Expires: Oct. 31 , 2023 | | | Estimated average burden | | | hours per response: 12 | | ## **ANNUAL REPORTS FORM X-17A-S PART** Ill | SEC FILE NUMBER | |-----------------| |-----------------| #### **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 | -/_0~i/~2_2 __<br>____ 0l | AND ENDING | __<br>____<br>1~2/_3_1~/2_2 | |--------------------------------------------------------------------------------------------|--------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Surety Financial Services, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer | □ 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.) | | | | | 3375 Park Avenue, Suite 3006 | | | | | | (No. and Street) | | | | Wantagh | NY | | 11793 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | John J. Renck | (516) 785-2355 | | jack@moneval.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Rubio CPA, PC | | | | | | {Name - if individual, state last, first, and middle name) | | | | 3500 Lenox Road, Suite 1500 | Atlanta | Georgia | 30326 | | (Address) | (City) | (State) | (Zip Code) | | 05/05/2009 | | 3514 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | John J. Renck<br>I, | , swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------…Read the full text as markdown