Full text of GATEWAY FINANCIAL AGENCY CORPORATION's X-17A-5 filed 2021-03-19 (period 2020-12-31). 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** **OMB APPROVAL OMB Number: 3235-0123 Expires: October 31,2023 Estimated average burden hours per response 12.00** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | | S E C FILE NUMBER | |----|-------------------| | 8- | | **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 | Of | MM/DD/YY | AND ENDING | /<2/3//2 OSLO<br>MM/DD/YY | | | |---------------------------------------------------------------------------------------------------------------------------------------|---------------|--------------------------------------------------------|------------|--------------------------------|--|--| | A. REGISTRAN T<br>IDENTIFICATIO N | | | | | | | | NAME OF BROKER-DEALER: GftTEWM fl^d&QL | | AG>hJdi CodPoQ^iO/J | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FIRM I.D. NO. | | | | /576/V<br>V r°/x/£ £\£££/<T A\I | L | | | | | | | | | (No. and Street) | | | | | | | | fL | | | | | | (City) | | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT | IDENTIFICATIO N | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | 0446<br>ComP^Mj,<br>P.A. | | | | | | | | | | (Name — if individual, state last, first, middle name) | | | | | | | | | | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | CHECK ONE:<br>Certified Public Accountant<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 supported by a statement offacts and circumstances relied on as the basis for the exemption. See Section 240.17a-5 (e)(2)* > **Potential 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.** **SEC 1410 (11-05)** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I,<br>Nt-COLAf | SOStjU<br>, swear (or affirm) t…Read the full text as markdown