Full text of SUTTER SECURITIES INCORPORATED's X-17A-5 filed 2022-08-30 (period 2022-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## SUTTER SECURITIES, INC. FINANCIAL STATEMENTS AND ACCOMPANYING SUPPLEMENTARY INFORMATION REPORT PURSUANT TO SEC RULE 17a-5(d) FOR THE YEAR ENDED JUNE 30, 2022 # PUBLIC {1}------------------------------------------------ #### 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 | SEC FILE NUMBER | |-----------------| | | 8-45158 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 06/30/22 filing for the period beginning 07/01/21 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Sutter Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): ■ Broker-dealer □ Security-based swap dealer | Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 6 Venture, Suite 395 (No. and Street) CA 92618 Irvine (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Keith Moore 949-295-1580 keith@suttersf.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Brian W. Anson (Name – if individual, state last, first, and middle name) 18401 Burbank Blvd. #120 CA 91356 Tarzana (Address) (City) (State) (Zip Code) 9/15/05 2370 (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. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Keith Moore | . swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------------------------------|-----------------------------------------------------------------------| | financial report pertaining to the firm of Sutter Securities, Inc. | as of | Au…Read the full text as markdown