Full text of S.L. REED & COMPANY's X-17A-5 filed 2021-02-16 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITlliSANDEXCHANGECOMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X~17 A~5 PART Ill | | OMB APPROVAL | | |-------------|--------------|---------------------------| | DMB Number: | | | | Expires: | | October 31,2023 | | | | Estimated average burden | | | | hours per response 12.00 | | | | | SEC FILE NUMBER B-49178 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01/20 | | AND ENDING 12/31/20 | | | | |-------------------------------------------------------------------------------------------------------|-------------------------------------------------------|---------------------|-------------------------------|--|--| | | ----------------------<br>MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: S.L. Reed & Company | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM I.D. NO. | | | | | | 11111 Santa Monica Blvd. Suite 1200 | | | | | | | | (No. and Street) | | | | | | Los Angeles | CA | | 90025 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Stephan Pene 31 0·893·3006 | | | | | | | | | | (Area Code- Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | Baker Tilly US, LLP | | | | | | | | (Name- if individual, state last, first, middle name) | | | | | | 11150 Santa Monica Blvd. Suite 600 | Los Angeles | CA | 90025 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | IV I<br>Certified Public Accountant | | | | | | | DPublic Accountant | | | | | | | DAccountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | *\*Claims .fur exemptiun.frum the requirement that the annual report be covered by the opinion o.f an independent public accountant must be supported by a statement offacts and circumstances relied on as the basis for the exemption. See Section 240./7a-5(e)(2)* > Potential 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 OMB control number. SEC 1410 (11-05) {1}--------------------…Read the full text as markdown