Full text of ORIENTAL FINANCIAL SERVICES LLC's X-17A-5/A 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, 2020 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ (A Wholly Owned Subsidiary of OFG Bancorp) December 3 t, 2020 #### Table of Contents | | Page | |---------------------------------------------------------------------------------|-------| | Annual Audited Report Oath or Affirmation (Form X-17 A-5 Parl III) | 1-2 | | Report of Independent Registered Public Accounting Firm | 3-4 | | Financial Statements | | | Stalemenl of Financial Condition | 5 | | Stalemenl of Operations | 6 | | Stalemenl of Changes in Member's Equity | 7 | | Stalemenl of Cash Flows | 8 | | Notes lo the Financial Statements | 9-17 | | Supplementary Information | | | Schedule I - Computation of Net Capital under Rule I 5c3-1 | 18-19 | | Schedule II - Computation for the Determination of Reserve Requirements and | | | Information Relating to Possession or Control Requirements under Rule I 5c3-3 | 20 | | Report of Independent Registered Public Accounting Firm on Applying Agreed-Upon | 21 | | Procedures Pursuant lo SEC Rule 17a-5(e)(4) | | {2}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll OMB APPROVAL OMB Number: 3235·0123 Expires: October 31, 2023 Estimated average burden hours r res nse .. . . .. 12 .00 > SEC FILE NUMBER &-44516 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 | |------------------------------------|----------|----------------|---------| | | | | | A. REGISTRANT IDENTIFICATION MM/DD/YY MM/DD/YY NAME OF BROKER-DEALER: ORIENTAL FINANCIAL SERVICES LLC OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) FIRM 1.0 . NO. # ORIENTAL CENTER MUNOZ RIVERA #254 (No. and Street) San Juan Puerto Rico 00918-1900 (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT (Arca Code - Telephone Number) # B. ACCOUNT ANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• # KPMG, LLP (Name - *ifind11·ldual. state last.first. middlt 11amt)* | 250 Munoz Rivera Avenue | Suite 1100…Read the full text as markdown