Full text of FIMCO SECURITIES GROUP, INC.'s X-17A-5 filed 2023-03-31 (period 2022-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III | All J PCI I CJUDIIJC. | | |-----------------------|--| | | | | SEC FILE NUMBER | | | 8-44863 | | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 \_AND ENDING\_12/31/22 filing for the period beginning 1/1/22 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: FIMCO Securities Group, Inc TYPE OF REGISTRANT (check all applicable boxes): ത Broker-dealer [ ] Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 110 South Wisconsin St. Unit 2G | | | (No. and Street) | | | |--------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|-----------------------|------------| | Port Washington | | WI | | 53074 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Fred Henry | 414-702-8872 | | fredhenry@fisecfi.com | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Davila Advisory LLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 10135 Manchester Rd, Ste 206 St. Louis | | | MO | 63122 | | (Address) | (City) | | (State) | (Zip Code) | | | | | 6667 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual 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-5(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 valid OMB control number. {1}------------------------------------------------ ### OATH OR AFFIRMATION I. Frederick Henry , swear (or affirm) that, to the best of my knowledge and belief, the f…Read the full text as markdown