Full text of FINANCIAL GOAL SECURITIES, INC.'s X-17A-5/A filed 2022-02-16 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ ### CONTENTS | Table of Contents<br>Annual Audited Report Form X-17 A-5 Part III<br>Report of Independent Registered Public Accounting Firm | 1<br>2-4<br>5 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------| | Financial Statements:<br>Statement of Financial Condition<br>Statement of Operations<br>Statement of Changes in Stockholder's Equity<br>Statement of Cash Flows<br>Notes to Financial Statements | 6<br>7<br>8<br>9<br>10-13 | | Additional Information:<br>Schedule I: Computation of Net Capital Pursuant to SEC Rule 15c3-1<br>Schedule II: Computation for Determination of the Reserve Requirements<br>and Information Relating to Possession or Control<br>Requirements for Brokers and Dealers Pursuant to SEC Rule 15c3-3 | 14<br>15 | | Report of Independent Registered Public Accounting Firm | 16 | | Assertions Regarding Exemption Provisions<br>Pursuant to Provisions of 17 C.F.R. § 15c3-3(k) | 17 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | # ANNUAL REPORTS FORM X-17A-S PART III | SEC FILE NUMBER | |-----------------| | 8-37151 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/21 MM/DD/VY AND ENDING 12/31/21 MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Financial Goal Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): Iii Broker-dealer 0 Security-based swap dealer o Check here if respondent is also an aTC derivatives dealer o Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 35-900 Bob Hope Drive, Suite 202 (No. and Street) Rancho Mirage CA 92270 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Bryan S. Kocen 760-…Read the full text as markdown