Full text of SORSBY FINANCIAL CORP.'s X-17A-5 filed 2024-01-10 (period 2023-09-30). 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, 2023 # **PUBLIC** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **10/01/2022 MM/DD/VY** AND ENDING **09/30/2023 MM/DD/VY A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Sorsby Financial Corp TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Major security-based swap participant **D Check here if respondent is also an OTC derivatives dealer** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 100 East Huron Suite 3503 **(No. and Street)** Chicago IL **(City) (State)** PERSON TO CONTACT WITH REGARD TO THIS FILING 60611 **(Zip Code)** Whitney Webster 312-751-0469 Webster@SorsbyFinancial.com **(Name) (Area Code -Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Davila Advisory, LLC **{Name -if individual, state last, first, and middle name)** 10135 Manchester Rd Ste 206 St. Louis MO 63122 **(Address) (City) (State) (Zip Code)** 6667 **(Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if aoolicable) FOR OFFICIAL USE ONLY • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public** **accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(li), if applicable.** **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Charles c. Sorsby | swear (or affirm} that, to the best of my knowledge and belief, the | |------------------------------------------------------------------|---------------------------------------------------------------------| | financial report pertaining to the firm of Sorsby Financi…Read the full text as markdown