Full text of ORIENTAL FINANCIAL SERVICES LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A Wholly Owned Subsidiary of OFG Bancorp) Financial Statements and Supplementary Schedules December 31, 20 I 9 (With Report of Independent Registered Public Accounting Finn Thereon) {1}------------------------------------------------ (A Wholly Owned Subsidiary of OFG Bancorp) December 3 I, 2019 ### **Table of Contents** | | Page | |---------------------------------------------------------------------------------|------| | Annual Audited Report Oath or Affinnation (Fonn X-<br>17A-5 Part IJ:I) | 1-2 | | Report of Independent Registered Public Accounting Finn | 3-4 | | Financial Statements | | | Statement of Financial Condition | 5 | | Statement of Operations | 6 | | Statement of Changes in Member's Equity | 7 | | Statement of Cash Flows | 8 | | Notes to the Financial Statements | 9-20 | | Supplementary lnfonnation | | | Computation of Net Capital under Rule 15c3-1<br>Schedule I - | 21 | | Computation for the Determination of Reserve Requirements and<br>Schedule II - | | | Information Relating to Possession or Control Requirements under Rule I 5c3-3 | 22 | | Report of Independent Registered Public Accounting Finn on Applying Agreed-Upon | 23 | | Procedures Pursuant to SEC Rule 17a-5(e)(4) | | {2}------------------------------------------------ UNITED *ST* ATF.s SEClJRITJESANDEXCHANGECOMMISSION WHhin1ton, D.C. 20~49 # ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll OMB APPROVAL OMB Numbe<: 3235-0123 Explrts: August <sup>31</sup>1 2020 Estimated average burden hours r res ...... 12.00 | SEC ALE NUMBER | |----------------| | t-44516 | # FACINC PAC£ Information Required of Brokers and Dealers Pursuant to Section 17 oflhe Securities Exchange Act of 1934 and Rule 17a-5 Thereunder REPORT FOR THE PERIOD BEGINNING 01/01/2019 AND ENDING 12/3\_1/\_2\_01\_9 \_\_\_ \_ MM/00/YY A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: Oriental Financial Services LLC ADDRESS OF PRINCIPAL 'PLACE OF BUSINESS: (Do not use P.O. Box No.) Oriental Center Munoz Rivera #254 (No and Street) San Juan Puerto !Rico (City) (S111c) MM/DO/YY OFFICIAL USE ONLY FIRM l.D. NO. 00918-1900 (Zip Code) NAME ANO TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO nus REPORT (Amt Code - Tdephonc Number) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• KPMG, LLP (Name *If l11d1vld11ol. 11011 /011. j/'11. 111/tldlt 1101111)* 250 Munoz Rivera Avenue Suite 1100 San Juan Puerto Rico 00918 (Address) (C11y) CHECK…Read the full text as markdown