Full text of FIELDPOINT PRIVATE SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL REPORT December 31, 2020 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | | | | |--------------------------|------------------|--|--|--| | OMB Number: 3235-0123 | | | | | | Expires: | October 31, 2023 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III SEC FILE NUMBER 8-37105 ## FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | | 1/1/20 | AND ENDING | 12/31/20 | |------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|------------------|------------|------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | | OFFICIAL USE ONLY | | Fieldpoint Private Securities, LLC | | | | FIRM I.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 100 Field Point Rd. | | | | | | | | (No. and Street) | | | | Greenwich. | | CT | | 06830 | | (City) | | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Laura Johnson | | | | 203-413-9300<br>(Area Code - Telephone Number) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | RSM US LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 157 Church Street | New Haven | CT | | 06510 | | (Address) | (City) | | (State) | (Zip Code) | | CHECK ONE:<br>[8] Certified Public Accountant<br>O Public Accountant | O 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 240.17a-5(e)(2) SEC 1410 (11-05) Potential persons who are to respond to the collection of information contained in this form are not…Read the full text as markdown