Full text of FIRST SOVEREIGN SECURITIES's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **REPORT PURSUANT TO SEC RULE 17a-S** For the year ended December 31, 2019 # **FIRST SOVEREIGN SECURITIES CORP.** FINANCIAL STATEMENTS AND ACCOMPANYING SUPPLEMENTAL INFORMATION {1}------------------------------------------------ # **FIRST SOVEREIGN SECURITIES CORP. DECEMBER 31, 2019** ### Table of Contents Page | SEC Form X-17A-5 Part 111 | 1-2 | |--------------------------------------------------------------------------------|-----| | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Statement .of Income (Loss) | 5 | | Statement of Changes in Stockholder's Equity | 6 | | Statement of Changes in Financial Condition | 7 | | Notes to Financial Statement | 8-9 | | Supplementary Information | | | Schedule of Net Capital | 10 | | Determination of Reserve Requirements | 11 | | Information Relating to Possession or Control | 11 | | SIPC Assessment Reconciliation | 11 | | Report of Independent Registered Public Accounting Firm<br>on Exemption Report | 12 | | Assertions Regarding Exemption Provisions | 13 | {2}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Wasbiugton,D.C. 20549** **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | Expires: | August 31, 2020 | |----------|-------------------------------| | | Estimated average burden | | | hours per response<br>. 12.00 | | | | | | SEC FILE NUMBER | 8-48579 0MB APPROVAL 0MB Number: 3235--0123 **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 BEGTNNING 01/01/19 | | -----------<br>AND ENDING 12/31/19 | | |----------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------------------|-------------------------------| | | MM/DDNY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: First Sovereign Securities Corp | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 707 Skokie Boulevard, Suite 520 | | | | | | (No. and Street) | | | | Northbrook | IL | | 60062 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Gary Hokin 224-269-0009 | | | | | | | | (Area Code -Telephone Number)…Read the full text as markdown