Full text of DEMPSEY FINANCIAL NETWORK, INC.'s X-17A-5 filed 2023-02-22 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20S49 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|---------|--------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | | | | SEC FILE NUMBER | | | | | | | | | 8-48194 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | A. REGISTRANT IDENilfibffM'tl | | | | | | | | NAME oF FIRM: Dempsey Financial Network, Inc. | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>liiiiil Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | 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 | | | | | | | | | S. Kay Dempsey | (404) 266 -<br>8761 | | kd@dempseyserves.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) | | | | | | | | 3500 Lenox Rd., Suite 1500 Atlanta | | GA | 30326 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 05/05/09 | | 3514 | | | | | | | (PCAOB Registration Number, if applicable)<br>(Date of Registration with PCAOB)(if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | | | | " Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(…Read the full text as markdown