Full text of FINTRUST BROKERAGE SERVICES, LLC's X-17A-5 filed 2023-03-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------------------------------------------------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB Number: 3235-0123<br>Expires: 0ct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-49514 | | | | | PART Ill | | | | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /22 | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | AND ENDING 12/31 /22 | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Fintrust Brokerage Services, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[ Broker-dealer<br>_ Check here if respondent is also an OTC derivatives dealer | [] Security-based swap dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} | | | | | | 124 Verde Blvd, Suite 504 | | | | | | | | (No. and Street) | | | | | | Greenville | SC | | 29607 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Allen Gillespie | 864-288-2849 | | agilespie@fintrustadvisors.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Goldman & Company CPA's PC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | | 3535 Roswell Rd | Marietta | GA | 30062 | | | | (Address) | (city) | (State) | (Zip Code) | | | | (Date of Re lstratlon with PCAOB' 'if a | licable<br>FOR OFFICIAL USE ONLY | | PCAOB Reristration Number, if a<br>licable | | | | | | | | | | | | « 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)(1)(ii), if applicable…Read the full text as markdown