Full text of FINTRUST BROKERAGE SERVICES, LLC's X-17A-5 filed 2020-02-26 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington,D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oerresponse ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | &-49514 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | MM/DD/YY | | ----------<br>MM/DD/YY | |---------------------------------------------------------------------------|--------------------------------------------------------|-------------------|--------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: FINTRUST BROKERAGE SERVICES, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 124 VERDAE BLVD, SUITE 504 | | | | | | (No. and Street) | | | | GREENVILLE | SC | | 29607 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | ALLEN GILLESPIE | | | 864-288-2849 | | | | | (Area Code _ Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | GOLDMAN & COMPANY CPAS PC | | | | | | (Name - if individual, state last, firs/, middle name) | | | | 3535 ROSWELL RD | MARIETTA | GA | 30062 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I | | | | | ✓<br>certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions, | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-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 0MB control number.** SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, \_A\_L\_L\_E\_N\_G\_I\_L\_L\_E\_S\_P\_IE \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ , swear (or affirm) that, to the best of my knowledge and belief the accompanying…Read the full text as markdown