Full text of DEMPSEY FINANCIAL NETWORK, INC.'s X-17A-5 filed 2021-02-26 (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 #### **ANNUAL AUDITED REPORT FORM X-17A-5 PART 111** | SEC FILE NUMBER | |-----------------| | 8- 48194 | | | 0MB APPROVAL OMS Number: 3235•0123 Expires: October 31, 2023 Estimated average burden hours per response .... 12.00 **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 --~0~1~/0~1=/~2~0 | MMIDDIYY | __<br>AND ENDING | 12/31/20<br>MM/DD/YY | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|--------------------|--------------------------------------------------|--|--|--|--|--| | A.<br>REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF BROKER-DEALER:<br>Dempsey Financial Network, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>2951 Piedmont Road Suite 200 | | | OFFICIAL USE ONLY<br>FIRM 1.D. NO. | | | | | | | | (No. and Street) | | | | | | | | | Atlanta | GA | | 30305 | | | | | | | (City) | (Sta'te) | | (Zip Code) | | | | | | | S. Kay Dempsey<br>B.<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is cofltained in the Report*<br>Rubio CPA PC | ACCOUNTANT IDENTIFICATION | | (404) 266-8761<br>(Area Code - Tele hone Number) | | | | | | | (Name | if individual, slate Ian, f1rsi, m1ddle name) | | | | | | | | | 2727 Paces Ferry Rd SE. Ste 2-1680<br>(Address) | Atlanta<br>(City) | Georgia<br>(State) | 30339<br>(Zip Code) | | | | | | | CHECK ONE | | | | | | | | | | II Certified Public Accountant | | | | | | | | | | D<br>Public Accountant | | | | | | | | | | □ 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 core red by the opinion of an independent public accountan/ must be supported by a statement of facts and circumstances relied on as the basis for 1he exemption. See Section 240. !7a-5(ej(2)* > Potential persons who are to respond to the collection of infonnation contained in this form are not required to respond unless the fonn displays a currently valid 0MB control number. SEC 1410(11-05) {1}------------------------------------------------ ##…Read the full text as markdown