FIRST ALLIED SECURITIES, INC. X-17A-5 (2016-05-04) — Broker-dealer annual report

Full text of FIRST ALLIED SECURITIES, INC.'s X-17A-5 filed 2016-05-04 (period 2015-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: FIRST ALLIED SECURITIES, INC.
• Form: X-17A-5
• Filed: 2016-05-04
• Period: 2015-12-31
• Accession: 0000909841-16-000027
• CIK: 909841
• File #: 8-46167
• Material weakness: No
• Auditor: PricewaterhouseCoopers LLC
• Auditor location: Kansas City, MO
• Contact: Jim Bretado
• Phone: (310) 257-7695
• Signed by: Jim Bretado (Financial and Operations Principal)

Document text (excerpt)

X-17A-5 0000909841 XXXXXXXX LIVE true false false 01-01-2015 12-31-2015 Broker-dealer N FIRST ALLIED SECURITIES, INC. 655 WEST BROADWAY 12TH FLOOR SAN DIEGO CA 92101 Jim Bretado (310) 257-7695 PricewaterhouseCoopers LLC 1100 Walnut Suite 1300 Kansas City MO 64106 Certified Public Accountant Jim Bretado FIRST ALLIED SECURITIES, INC. 04-21-2016 Jim Bretado Financial and Operations Principal Y

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Other filings by this registrant

• X-17A-5 — 2022-02-25
• X-17A-5 — 2021-02-26
• X-17A-5 — 2020-03-02
• X-17A-5 — 2019-03-01
• X-17A-5 — 2018-03-15
• X-17A-5 — 2017-04-20
• X-17A-5/A — 2015-03-09
• X-17A-5 — 2015-03-02
• X-17A-5 — 2014-02-28
• X-17A-5 — 2013-02-28
• X-17A-5 — 2012-02-28
• X-17A-5 — 2011-02-24

Original filing on SEC EDGAR (source of record)