Full text of FARINA & ASSOCIATES, INC.'s X-17A-5 filed 2023-05-30 (period 2023-03-31). 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 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-41953 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response : 12 FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 04/01/22 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: FARINA AND ASSOCIATES INC. TYPE OF REGISTRANT {check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer AND ENDING 03/31/23 ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | C/0 BAYAT CONSULTING, 14 WALL STREET, 20TH FLOOR | | | | | | | | |---------------------------------------------------------------------------------------------------------|-------------------------------|-----------------|--------------------------------|--|--|--|--| | (No. and Street) | | | | | | | | | NEW YORK | NY | | 10005 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | ALAN KRIM | 516-526-1586 | | akrim@farinaand associates.com | | | | | | (Name) | (Area Code- Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RAINES AND FISCHER LLP | | | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | | | | | 555 FIFTH AVE-STE 901 | NEW YORK | NY | 10017 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | NOV 5 2009 | | 3760 | | | | | | | | | | | | | | | | ~~(P<br>)0 fa~p p~Uc bl )~<br>ti oo No~booOopp,ooblo)<br>PC<br>te<br>IC<br>e~g~~~tr~a io<br>~~<br>gi st | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. 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 | | JOSEPH W STEVENS | |…Read the full text as markdown