Full text of FIRST SOVEREIGN SECURITIES's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **REPORT PURSUANT TO SEC RULE 17a-5** For the year ended December 31, 2020 # **FIRST SOVEREIGN SECURITIES CORP.** FINANCIAL STATEMENTS AND ACCOMPANYING SUPPLEMENTAL INFORMATION {1}------------------------------------------------ # **FIRST SOVEREIGN SECURITIES CORP. DECEMBER 31, 2020** ## Table of Contents | | Page | |--------------------------------------------------------------------------------|-------| | SEC Form X-17A-5 Part III | 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 | | Assertions Regarding Exemption Provisions | 12 | | Report of Independent Registered Public Accounting Firm<br>on Exemption Report | 13 | {2}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden **8-** SEC FILE NUMBER 48579 # hours per response.. . . . . 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **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______________________________ | 01/01/20 | 12/31/20<br>AND ENDING______________________________ | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------------------------------------|-------------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | First Sovereign Securities Corp | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 707 Skokie Boulevard, Suite 520<br>___________________________________________________________________________________________________________________ | | | | | | | | (No.…Read the full text as markdown