Full text of SORRENTO PACIFIC FINANCIAL, LLC's X-17A-5 filed 2021-04-15 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## ANNUAL FILING IN ACCORDANCE WITH RULE 17a-5 AS OF AND FOR THE YEAR ENDED DECEMBER 31, 2020 TOGETHER WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM THEREON {1}------------------------------------------------ | | OMB APPROVAL | | |-------------|--------------|--------------------------| | OMB Number: | | 3235-0123 | | | | xpires: October 31, 2023 | | | | stimated average burden | | | | ours per response 12.00 | | SEC FILE NUMBER | | |-----------------|--| | 8-66046 | | | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | | AND ENDING 12/31/2020 | | | |----------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|---------|--------------------------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: SORRENTO PACIFIC FINANCIALS LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 10150 MEANLEY DRIVE, 1ST FLOOR | | | | | | | | (No. and Street) | | | | | | SAN DIEGO | CA | | 92131 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>DONALD TAYLOR | | | (315) 471-2191<br>(Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Citrin Cooperman | (Name - if individual, state last, first, middle name) | | | | | | 529 Fifth Avenue | New York | NY | 10017 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | {2}------------------------------------------------ | Donald Taylor<br>, swear (or affirm) that, to the best of | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown