Full text of PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING, INC.'s X-17A-5 filed 2021-03-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours er resoonse ...... 12.00 SEC FILE NUMBER **8-40598** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 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 | | | |--------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------|--------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: PROFESSIONAL BROKER-DEALER FINANCIAL PLANNING,INC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | 1111 WEST WOLFENSBERGER ROAD | | | | | | | | (No. and Street) | | | | | | CASTLE ROCK | co | | 80109 | | | | (City) | (Slate) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>BLAINE STAHLMAN | | | 303-688-7581 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | HIGHAM, NANCY GREEN | | | •· | | | | | (Name - if individual, stale last, first, middle name) | | | | | | 13395 VOYAGER PWKY #130-281 | COLORADO SPRINGS | co | 80921 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | j ✓ I<br>certified Public Accountant | | | | | | | Public Accountant | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims/or 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/acts and circumstances relied on as the basis for the exemption. See Section 240. !7a-5(e)(2)* SEC 1410 (11-05) 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 c…Read the full text as markdown