Full text of FINANCIAL GOAL SECURITIES, INC.'s X-17A-5 filed 2021-01-19 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Goal Securities, Inc. Report Pursuant to SEC Rule 17a-5 (d) Financial Statements For the Year Ended December 31, 2020 {1}------------------------------------------------ #### CONTENTS | Table of Contents | 1 | |-----------------------------------------------------------------------------------------------------------------------------|-------| | Annual Audited Report Form X-17 A-5 Part III | 2-4 | | Report of Independent Registered Public Accounting Firm | 5 | | Financial Statements: | | | Statement of Financial Condition | 6 | | Statement of Income | 7 | | Statement of Changes in Stockholder's Equity | 8 | | Statement of Cash Flows | 9 | | Notes to Financial Statements | 10-13 | | Additional Information: | | | Schedule I: Computation of Net Capital Pursuant to SEC Rule 15c3-1 | 14 | | Schedule II: Computation for Determination of the Reserve Requirements<br>and Information Relating to Possession or Control | 15 | | Requirements for Brokers and Dealers Pursuant to SEC Rule 15c3-3 | | | Report on Exemption Provisions | 16 | | Pursuant to Provisions of 17 C.F.R. § 15c3-3(k) | | | Report of Independent Registered Public Accounting Firm | 17 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washingto~, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III ·** | OMB APPROVAL | | | |---------------------------|--|------------------| | OMB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | hours Der reSDonse 12.00 | | | | | SEC FILE NUMBER | |---------|-----------------| | 8-37151 | | 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 01/01/2020 | | AND ENDING 12/31/2020<br>--------------------- | | |-------------------------------------------------------------------------------------------|----------------------------------------------------------------------|------------------------------------------------|--------------------------------| | | MMIDD/YY | | MMIDDNY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Financial Goal Securities, Inc. | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | 35-900 Bob Hope Drive, Suite 202 | | | | | | (No. and Street) | | | | Rancho Mirage | CA | | 92270 | |…Read the full text as markdown