Full text of AVALON SECURITIES, LTD.'s X-17A-5/A filed 2022-03-31 (period 2021-12-31). 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** | ANNUAL REPORTS | | | | | |----------------|--|--|--|--| | FORM X-17A-5 | | | | | | PART Ill | | | | | 0 MB APPROVAL 0M B Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **FACING PAGE** Information **Required Pursuant to Rules 17a-5, 17a-12,** and 18a-7 under **the Securities Exchange Act** of **1934** | FILI NG FOR THE PERIOD BEG INNI NG | 01/21<br>/<br>01 | AND EN DING _ | __<br>_ 1_2_/<br>3_1_/_2_1<br>_ | | |-------------------------------------------------------------------------------------|----------------------------------------------------------------------------|------------------------------------------|------------------------------------------------------|--| | | MM/DD/YY | | MM/ DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | ___<br>NAME OF FIRM: | A_v_al_o_n_S_e_c_ur_<br>iti_· e_s ,_L_td _ | __<br>___<br>_<br>_ | ____<br>_<br>_ _ | | | TYPE OF REG ISTRANT (check all applicable boxes): | | | | | | ~ Broker-dea<br>ler<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major secu rity-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 530 Fifth Avenue, 9th Floor | | | | | | | (No. and Street) | | | | | New York | New York | | 10036 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Lynda Davey | 917-539-0006 | | LDavey@AvalonNetWorth.com | | | (Name) | (Area Code - Telephone Number) | | (Ema il Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOU NTANT whose reports are contained in this filing* | | | | | | | | | | | Michael Coglinese CPA, P.C. | (Name - if individual, state last, first, and middle name) | | | | | | 125 East Lake Street, Suite 303, Bloomingdale | IL | 60108 | | | | | | (St at e)<br>(Zip Code) | | | | | | | | | (Address) | (City) | | | | | 20/2009<br>10/<br>T<br>te of Reglst<atlo" with PCAOB)(lf applicable) | | | 3874<br>(PCAOB Reglstcatlo" N,mbec, If applicable) I | | CFR 24O.17a-5(e)( l)(ii), if applicable. Persons who are to respond to t he collection of information contained in this form are not required to respond unless t he form displays a currently valid 0MB control number. {1}------------------------------------------------ *;;/zdi( Mw* Y~ C IJ…Read the full text as markdown