Full text of FIMCO SECURITIES GROUP, INC.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | hours per response 12.00 | | |---------------------------|-------------------------------------------------------| | | Expires: October 31, 2023<br>Estimated average burden | OMB APPROVAL OMB Number: | SEC FILE NUMBER | | |-----------------|--| | 8-44863 | | 3235-0123 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 1/1/2020 | | |------------------------------------------|--| | | | MM/DD/YY MM/DD/YY OFFICIAL USE ONLY FIRM I.D. NO. # A. REGISTRANT IDENTIFICATION # NAME OF BROKER-DEALER: FIMCO Securities Group, Inc ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) # 929 West Shaker Circle | (No. and Street) | | | | |------------------|---------|------------|--| | Mequon | Will | 53092 | | | (City) | (State) | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Fred Henry 262-241-8135 (Area Code - Telephone Number) # B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* # Marcum LLP | Deerfield | 11 | 600 15 | |-----------|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------| | (City) | (State) | (Zip Code) | | | | | | | | | | | | (Name - if individual, state last, first, middle name)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | \* Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the exemption. See Section 240.17a-5(c)(2) > Potential 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. SEC 1410 (11-05) AND ENDING 12/31/2020 {1}------------------------------------------------ #### OATH OR AFFIRMATION #### Frederick A. Henry swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of FIMCO Securities Group, Inc -------------------------------------…Read the full text as markdown