Full text of FIRST SOVEREIGN SECURITIES's X-17A-5 filed 2022-02-24 (period 2021-12-31). 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, 2021 # FIRST SOVEREIGN SECURITIES CORP. FINANCIAL STATEMENTS AND ACCOMPANYING SUPPLEMENTAL INFORMATION {1}------------------------------------------------ # FIRST SOVEREIGN SECURITIES CORP. DECEMBER 31, 2021 # 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 | | Report of Independent Registered Public Accounting Firm<br>on Exemption Report | 12 | | Assertions Regarding Exemption Provisions | 13 | {2}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III sec file number 8-48579 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 01/01/21<br>AND ENDING 12/31/21 | | | | | | |-----------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|----------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: | First Sovereign Securities Corp | | | | | | TYBE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | ച Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 707 Skokie Boulevard, Suite 520 | | | | | | | | (No. and Street) | | | | | | Northbrook | II. | | 60062 | | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING |…Read the full text as markdown