Full text of FINTRUST BROKERAGE SERVICES, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | -<br>-<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>12<br>hours per response: | |-----------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-49514 | | | PART Ill | | | | | 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 01/01/2021 | | AND ENDING 12/31/2021 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: FINTRUST BROKERAGE SERVICES, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes): | [] Security-based swap dealer | [ Major security-based swap participant | | | X Broker-dealer<br>respondent s i<br>[Check here f i | also an OTC derivatives dealer | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.0. box no.) | | | | | | | | | | 124 VERDAE BLVD. SUITE 504 | (No. and Street) | | | | | | | | | GREENVILLE<br>(city) | SC<br>(State) | | 29607<br>(Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | ALLEN GILLESPIE | 864-288-2849<br>(Area Code - Telephone Number) | (Email Address] | AGILLESPIE@FINTRUSTADVISORS.COM | | (Name) | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing<br>GOLDMAN & COMPANY CPA'S PC | | | | | | (Name -- if individual, state last, first, and middle name) | | | | 3535 ROSWELL RD | MARIETTA | GA | 30062 | | | (City) | (State) | (Zip Code] | | (Address)<br>6/25/2009<br>(Date of Registration with PCAOB(if applicable) | | 1952 | (PCAOB Registration Number, if a policable | 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)(1/ii), 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. {1}------------------------------------…Read the full text as markdown