Full text of REGISTER FINANCIAL ASSOCIATES, INC.'s X-17A-5 filed 2022-02-25 (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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-S PART Ill** SEC FILE NUMBER 8-45012 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ___ 0_1_/0_1_/_2_1 __ | AND ENDING | __<br>___<br>12_/_3_1 /_2_1<br>_ | | |-------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------|-----------------------------------------|-------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | ____<br>NAME OF FIRM: | R_e_g_is_t_e_r _F_in_a_n_c_ia_l A_<br>ss_o_c_ia_t_e_s,_l_n_c_. | | ___________<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 3500 Lenox Road, Suite 1700 | | | | | | (No. and Street) | | | | | Atlanta | GA | | 30326 | | | (City)<br>(State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Scott Register | 404-364-2180 | | sreg ister@registerfinancial.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | Rubio CPA P.C. | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 2727 Paces Ferry Road SE, Bldg 2, Ste 1680 | | GA<br>Atlanta | 30339 | | | (Address) | (City) | (State) | (Zip Code) | | | 05/05/2009 | | | 3514 | | | r<br>te of Reg;str,tloa w;th PCAOB)(lf applicable) | | | (PCAOB Reg;st,at;oa N,mbec, 1f appUcable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | 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)(l)(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 0MB control number.** {1}-----…Read the full text as markdown