Full text of FIRST SOVEREIGN SECURITIES's X-17A-5/A filed 2022-03-30 (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 | | Reconciliation of Computation of Net Capital under SEA Rule 15c3-1 | 11 | | Determination of Reserve Requirements | 12 | | Information Relating to Possession or Control | 12 | | Report of Independent Registered Public Accounting Firm<br>on Exemption Report | 13 | | Assertions Regarding Exemption Provisions | 14 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0 MB Number: 3235-0123 Expl,es: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-48579 # **ANNUAL REPORTS FORM X-17A-S PART** Ill FACING PAGE | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchanse Act of 1934 | | FACING PAGE | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|----------------------------------------------------------|------|-----------------------|-----------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 0 1 /Q 1 /21 | | | | AND ENDING 12/31 /21 | | | | | | MM/ DD/VY | | | MM/ DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: First Sovereign Securities Corp | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>D Check here If respondent is also an OTC derivatives dealer | O Security-based swap dealer | | | | D 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 Strttt) | |…Read the full text as markdown