Full text of DEMPSEY FINANCIAL NETWORK, INC.'s X-17A-5 filed 2020-02-24 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Washington, D,C. 20549 **ANNUAL AUDITED REPORT FORM X-17A-5 PART 111 FACING PAGE** Expires: April 30. 2020 Estimated average burden hours per response .. 12.00 •· **48194** Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l7a-5 Thereunder REPORT FOR TIIE PERIOD BEGINNl'.\G **01/01/19** --~M~M~,D~D~cY~Y~-- AND E:--:DING **--"'1.:2:..:/3'-'l"-/"'-19'---** MM.'DD.'YY **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: OFFICIAL USE ONLY **Dempsey Financial Network, Inc.** ADDRESS OF PRINCIPAL PLACE OF 13US1:",,:ESS: {Do not use P.O. Box No.) FIRM I. □. NO **2951 Piedmont Road Suite 200** (Cityi { State) (Zip Code) NAME AND TELEP!IONE NUMBER or PERSON IO CON TAC! **S. Kay Dempsey** IN REGARD TO THIS REPORT **(404) 266-8761** (Area Code - Telephone Nnmlier) **B. ACCOUNTANT IDENTIFICATION** (Name 1f rnd1nd11a/, .<!u/1' /ml, {1r.11, m1Jdfr name) {Addrcs.s) (Cit)') B Certified Public Accountant D Public Accountant Georgia (Stak) □ Accountant not resident in Cnited States or any of its possessions. FOR OFFICIAL USE ONLY 30339 (Zip Code} *,;;Cimms .for exempl/011 .from the 1-eqwrem,mt that the annual report be covere•d by the opinion of an independen! public accoumant must be supported* by *a swtemellt of facts and c1rc11m.Hanc1::s relied on as die basis.for the exemption. See Sec/ion 240. I 7u-5(e;(2)* > Potential persons who are to respond to the collection of lnfonnatlon contained in this form are not required to respond unless the fonn displays a currently valid 0MB control number. SEC 1410 (06-02) | UNITED STATES | | |------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | Washington, D,C. 20549 | | 0MB APPROVAL 0MB Number: 3235-0123 SEC FILE NUMBER | Atlanta | GA | 30305 | |---------|----------|------------| | (Cityi | { State) | (Zip Code) | INDEPENDENT PUBLIC ACCOUNTANT whose: opinion is contained in the Report\* ## **Rubio CPA PC** | 2727 Paces Ferrv Rd, Bldg 2, Suite 1680 | Atlanta | Georgia | 30339 | | |-----------------------------------------|---------|---------|------------|--| | {Addrcs.s) | (Cit)') | (Stak) | (Zip Code} | | ## CHECK ONE {1}------------------------------------------------ #### OATH OR AFFIRMATION | ---'s"·,,,._,K=a,.;Ve,'_,D=e"m=p"'s"-e"v.,_ _______________ . ;,wear (or affirm) thttt. to the bc:st ofmy<br>I, | | |----------------------------------------------------------------------------…Read the full text as markdown