Full text of SORSBY FINANCIAL CORP.'s X-17A-5 filed 2020-11-25 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SEPTEMBER 30, 2020 # PUBLIC {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 # s per response…….12.00 | SEC File Number | |-----------------| | 8-48718 | Official Use Only Firm ID No. # Report for the period beginning 04/01/201<sup>9</sup> and ending 09/30/<sup>2020</sup> NAME OF BROKER-DEALER: Sorsby Financial Corp. ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do not use P.O. Box No.): 676 N. Michigan Avenue, Suite 3605 (No. and Street) Chicago IL 60611 (City) (State) (Zip Code) REPORT: Charles C. Sorsby (312) 751-0469 (Name – ) (City) (State) (Zip Code) INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* 10135 Manchester Rd, Suite 2<sup>06</sup> St Louis MO <sup>63</sup><sup>122</sup> NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS (Area Code – Telephone No.) Accountant, not resident in United States or any of its possessions Davila Advisory, LLC (No. and Street) CHECK ONE: Certified Public Accountant Public Accountant FOR OFFICAL USE ONLY \* {2}------------------------------------------------ ### OATH OR AFFIRMATION I, Whitney A. Webster, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statement and supporting schedules pertaining to the firm of Sorsby Financial Corp., as of September 30, 2020, are true and correct. I further swear (or affirm) that neither the Company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except, as follows: None. Signed before me on Nov. 25, 2024 Signature by Whitney A Webster Chief Executive Officer Title LYNN M. RANEY Notary Public, Notary Seal Notary Public State of Missouri St. Louis County Commission # 18041717 My Commission Expires 05-08-2022 This report\* contains (check all applicable boxes): - X (a) Facing Page. - X (b) Statement of Financial Condition. - (c) Statement of Income (Loss). - (d) Statement of Cash Flows. - (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietor's Capital. - Statement of Changes in Liabilities Subordinated to Claims of Creditors. (1) - Computation of Net Capital. (g) - (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c-3-3. - Information Relating t…Read the full text as markdown