Full text of SORSBY FINANCIAL CORP.'s X-17A-5 filed 2022-02-01 (period 2021-09-30). 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 PURSUANTTO RULE 17a-5 SEPTEMBER 30, 2021 ## **CONFIDENTIAL** {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER ϴͲϰϴϳϭϴ **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 _____________________ AND ENDING ______________________ | ϭϬͬϬϭͬϮϬϮϬ | | ϬϵͬϯϬͬϮϬϮϭ | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|------------|--------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | ^ŽƌƐďLJ&ŝŶĂŶĐŝĂůŽƌƉ<br>NAME OF FIRM: _______________________________________________________________________ | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>dž<br>܆<br>܆<br>Broker-dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆<br>Security-based swap dealer | Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>ϭϬϬĂƐƚ,ƵƌŽŶ^ƚ͘^ƵŝƚĞϯϱϬϯ | | | | | | | _____________________________________________________________________________________ | (No. and Street) | | | | | | ŚŝĐĂŐŽ<br>_____________________________________________________________________________________ | /> | | | ϲϬϲϭϭ | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | tŚŝƚŶĞLJ͘tĞďƐƚĞƌ | ϯϭϮͲϳϱϭͲϬϰϲϵ | | | tĞďƐƚĞƌΛ^ŽƌƐďLJ&ŝŶĂŶĐŝĂů͘ĐŽŵ | | | (Name) | _____________________________________________________________________________________<br>(Area Code – Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this…Read the full text as markdown