Full text of DIVERSIFIED RESOURCES, LLC's X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **DIVERSIFIED RESOURCES, LLC FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION FOR THE YEAR ENDED DECEMBER 31, 2019** {1}------------------------------------------------ ## **DIVERSIFIED RESOURCES, LLC FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2019** #### **Contents** | Facing page | 1-2 | |----------------------------------------------------------------------------------|------| | Report of independent registered public accounting firm | 3-4 | | Financial statements | | | Statement of financial condition | 5 | | Statement of operations | 6 | | Statement of changes in member's<br>equity | 7 | | Statement of cash flows | 8 | | Notes to the financial statements | 9-12 | | Supplementary information | | | Computation of net capital under rule 15c3-1 of the Securities and | | | Exchange Commission | 13 | | Report of independent registered public accounting firm | | | on exemption report | 14 | | Exemption report<br>pursuant<br>to<br>SEC Rule<br>17a-5<br>of the Securities and | 15 | | Exchange Commission | 13 | {2}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . . . . . . 12.00 8\_45497 SEC FILE NUMBER # ANNUAL AUDITED REPORT FORM X-17A-5 PART III 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 | January 1,2019 | AND ENDING | December 31, 2019 | |--------------------------------------------------------------------------------------------------|--------------------------------------------------------|----------------|--------------------------------| | | MM/DD/Y Y | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: DIVERSIFIED RESOURCES , LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>70 JEFFERSON BOULEVARD | | | FIRM I.D. NO. | | | (No. and Street) | | | | WARWICK | RI | | 02888 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>KAREN J. BACON | | (401) 941-1500 | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>SANDLER & COMPANY PC | (Name - i…Read the full text as markdown