Full text of FARINA & ASSOCIATES, INC.'s X-17A-5 filed 2025-06-24 (period 2025-03-31). 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** *<sup>i</sup>* **ANNUAL REPORTS FORM X-17A-5 PARTIU FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-41953 **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 /24** MM/DD/VY AND ENDING **03/31 /25** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: FARINA AND ASSOCIATES INC. TYPE OF REGISTRANT (check all applicable boxes): GJ Broker-dealer D Security-based swap dealer D Major security-based swap participant □ 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 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 Fl UNG ALAN KRIM 516-526-1586 akrim@farinaandassociates.com (No1m.e) (Area Cod" - TE>IE>phonE'! NumbE>r) (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) MAR 4 2009 3370 **Ir• of Registrafoo wrth PCAOB)iif applicable) FOR OFFICIAL USE ONLY [PCAOB Regi~rntioo N"mb~,** if **applicable)** I \* 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 c1,1rrently valid 0MB control number.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | | I, Joe Stevens | | swear (or affirm) that, to the best of my knowledge and belief, the | | | | | |------|---------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-…Read the full text as markdown