Full text of MILESTONE INVESTMENTS, INC.'s X-17A-5 filed 2020-02-25 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CONFIDENTIAL UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | QMB APPROVAL | | | | |---------------------------|-----------------|--|--| | QMB Number. | 3235-0123 | | | | Expires: | August 31, 2020 | | | | Estimated average burden | | | | | hours per response 12.00 | | | | # ANNUAL AUDITED REPORT FORM x ... 17 A-5 PARTIII | SEC FILE NUMBER | | | |-----------------|--|--| | 8-51664 | | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINING | ___<br>___<br>JA_N_U_A_R_Y__.1,'--2_0_19<br>MM/00/YY | AND ENDING | DECEMBER 31, 2019<br>MM/00/YY | |----------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------|------------|---------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | MILESTONE INVESTMENTS, INC. | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 10700 SIKES PLACE, SUITE 315 | | | | | (No. and Street) | | | | CHARLOTTE | NC | | 28277-0729 | | (City) | (State) | | (Zip Code) | | FREDRICK FISHER | B. ACCOUNTANT DESIGNATION | | 704-716-2749<br>(Area Code - Telephone No.) | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | OHAB AND COMP ANY, PA<br>(Name - if individual, state last, first, middle name) | | | | 100 E. SYBELIA A VENUE, SUITE 130, MAITLAND | | FLORIDA | 32751 | | (Address and City) | | (State) | (Zip Code) | | CHECK ONE:<br>[Kl Certified Public Accountant<br>D Public Accountant<br>D Accountant not resident in United States or any of its Possessions | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption fl-om the requirement that the annual audit be covered by the opinion of an independent public accountant must be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See section 240.17a-5(e){2).* > Potential persons who are to respond to the collection of information contained in this form are required to respond unless the form displays a current valid 0MB control number. SEC 1410 (06-02) {1}------------------------------------------------ ## OATH OR AFFIRMATION |…Read the full text as markdown