Full text of FARINA & ASSOCIATES, INC.'s X-17A-5 filed 2024-06-28 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, O.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires; Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-41953 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **04/01 /23** AND ENDING **03/31 /24** 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 D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # C/O BA YA T CONSUL TING, 14 WALL STREET, 20TH FLOOR | | (No. and Street) | | | | | |----------------------------------------------|---------------------------------------------------------------------------|-------------------------------|--|--|--| | NEWYORK | NY | 10005 | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | ALAN KRIM | 516-526-1586 | akrim@farinaandassociates.com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | NAWROCKI SMITH LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | |-----------------------------------------------|------------------------------------------------------------|--------------------------------------------|------------|--| | 100 MOTOR PARKWAY SUITE 580 HAUPPAUGE | | NY | 11788 | | | (Address) | (City) | (State) | (Zip Code) | | | MAR4 2009 | | 3370 | I | | | rte of R,gistcafoo with PCAOB){if applicable) | | {PCAOB Registratioo N,mbe,, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \* 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)(1){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…Read the full text as markdown