Full text of FIRST ALLIED SECURITIES, INC.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FIRST ALLIED SECURITIES, INC. (SEC I.D. No. 8-46167) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2019 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Filed pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 as a Public Document {1}------------------------------------------------ #### UNITED STATES 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 | SEC FILE NUMBER | | | | |-----------------|--|--|--| | | | | | 8-46167 #### **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<br>01/01/19 | AND ENDING<br>12/31/19 | | | | | | |----------------------------------------------------------------------------------------------------|--------------------------|--|--|--|--|--| | MM/DD/YY<br>MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF BROKER-DEALER: | OFFICIAL USE ONLY | | | | | | | First Allied Securities, Inc | | | | | | | | | FIRM ID. NO. | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>655 West Broadway, 12th Floor | | | | | | | | (No. and Street) | | | | | | | | San Diego<br>CA | 92101 | | | | | | | (City)<br>(State) | (Zip Code) | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | Tim Bowman<br>(619) 881-5262 | | | | | | | | (Area Code -- Telephone No.) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT (whose opinion is contained in this Report*) | | | | | | | | | | | | | | | | (Name -- if individual, state last, first, middle name) | | | | | | | | Deloitte & Touche LLP<br>555 West 5th Street, Suite 2700<br>Los Angeles, | California<br>90013-1010 | | | | | | | (ADDRESS) Number and Street<br>City | State<br>Zip Code | | | | | | | CHECK ONE: | | | | | | | | •<br>Certified Public Accountant<br>X | | | | | | | | •<br>Public Accountant | | | | | | | | •<br>Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant* *must be supp…Read the full text as markdown