Full text of FIRST WESTERN SECURITIES, INC.'s X-17A-5 filed 2021-09-23 (period 2021-06-30). 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 Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response . . . 12.00 **8 - 37613** SEC FILE NUMBER OMB APPROVAL ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **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 | 7/01/20<br>MM/DD/YY | AND ENDING | 6/30/21<br>MM/DD/YY | | | |-----------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------------|-----------------------------------|--|--| | A. | | REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER:<br>First Western Securities, Inc. | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | _________________<br>FIRM ID. NO. | | | | 669<br>Airport Freeway, Ste 409 | | | | | | | | (No. and Street) | | | | | | Hurst | Texas | | 76053 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Randal E. Ferguson | | (817) 553-1492 | | | | | | | B. ACCOUNTANT IDENTIFICATION | (Area Code – Telephone No.) | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Phillip V. George, PLLC | (Name – if individual, state last, first, middle name) | | | | | | 5179 CR 1026 | Celeste | Texas | 75423 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | Certified Public Accountant<br>Public Accountant | | | | | | | 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 (06-02) 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 AFFIRMATION I, \_\_ Randal E. Ferguson were would be swear (or affirm) that, to th…Read the full text as markdown