Full text of DEMPSEY FINANCIAL NETWORK, INC.'s X-17A-5 filed 2022-03-28 (period 2021-12-31). 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 | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | ## ANNUAL REPORTS FORM X-17A-5 PARTIII | SEC FILE NUMBER | | |-----------------|--| | 8-48194 | | #### **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING __ | ___<br>0_1'---/0_1_/2_0_2_1 | AND ENDING __ | 1__,2/,__3_1_,_/2_0_2_1 | __<br>_ | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------|-------------------------------------------|-------------------------|---------------------------------| | | MM/00/YY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: ___ | D_e_m__.p,__s_e_._y_F_in_a_n __ c_ia_l_N_e_tw_o_rk_,;,,_l_nc_. | ______________ | | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>Qg Broker-dealer<br>Security-based swap de\der~<br>D Check here if respondent is also an OTC derivatives dealer | | Major security"'.'.ga~d ftlap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 2951 Piedmont Road, Suite 200 | | | | | | | (No. and Street) | | | | | Atlanta | GA | | 30305 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Carol Ann Kinzer | 678-525-0992 | | | ckinzer@brokerageconsulting.com | | (Name} | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Rubio CPA PC | | | | | | | (Name-if individual, state last, first, and middle name) | | | | | 2727 Paces Ferry Rd. SE, Ste 2-1680 | Atlanta | | GA | 30339 | | (Address) | (City) | | (State)<br>(Zip Code) | | | 05/05/2009 | | 3514 | | | | (rt• of Registration with PCAOB)(if applicable) :FOR OFFICIAL USE ONLY | I<br>(PCAOB Registration Number, if applicable) | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the re…Read the full text as markdown