Full text of FINTRUST BROKERAGE SERVICES, LLC's X-17A-5 filed 2024-03-26 (period 2023-12-31). 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 | | 0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>12<br>SEC FILE NUMBER | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|---------|-----------------------------------------------------------------------------------------------------------------------------|--|--| | | | | | | | | | ANNUAL REPORTS | | | | | | | 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 Q 1/01 /23 | AND ENDING | | 12/31 /23 | | | | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | L<br>L<br>wsore. F<br>i<br>n<br>t<br>r<br>u<br>s<br>t<br>S<br>e<br>r<br>v<br>i<br>c<br>e<br>s<br>B<br>r<br>o<br>k<br>e<br>r<br>a<br>g<br>e | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □<br>[] Security-based swap dealer | | 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)<br>SC | | | | | | Greenville | | | 29607 | | | | (City) | {State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Allen Gillespie | 864-288-2849 | | agillespie@finstrustadvisors.com | | | | (Name) | (Area Code - Telephone Number) | | (Emall Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | Goldman & Company CPAs PC | | | | | | | 3535 Roswell Rd | (Name - if individual, state last, first, and middle name)<br>Marietta | GA | 30062 | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | | | (Date of Re istration with PCAOB' 'if a | licable | | PCAOB Registration Number, if a<br>licable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | Claims for exemption from the requirement that the annual reports be covered by the report…Read the full text as markdown