Full text of ZERMATT SECURITIES, INC.'s X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ B. ACCOUNTANT DESIGNATION DAVID LUNDGREN & COMPANY (Name - if individual, state last, first, middle name) KANSAS (Address and City) (State) MM/DD/YY A. REGISTRANT IDENTIFICATION ZERMATT SECURITIES, LLC NAME OF BROKER DEALER: OFFICAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) FIRM ID. NO. 2813 COLTSCATE RD SUITE 200 Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder FACING PAGE ANNUAL AUDITED REPORT FORM X-17A-5 PART III UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL 3235-0123 QMB Number. Expires: October 31, 2023 Estimated average burden hours per response . ... . 12.00 SEC FILE NUMBER 8-51808 MM/DD/YY | | | | PUBLICLY AVAILABLE | |--|--|--|--------------------| |--|--|--|--------------------| SEC 1410 (11-05) 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 OMB control number. \*Claims for exemption from the reguirement that the annual audit be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2). (No. and Street) CHARLOTTE (City) REPORT FOR THE PERIOD BEGINING NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT NATALIE MILLER 706-429-2199 (Area Code - Telephone No.) INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* 505 NORTH MUR-LEN ROAD OLATHE 66062 (Zip Code) ## CHECK ONE: X Certified Public Accountant Public Accountant Accountant not resident in United States or any of its possessions FOR OFFICIAL USE ONLY 28211 (Zip Code) NC (State) JANUARY 1, 2020 AND ENDING DECEMBER 31, 2020 {1}------------------------------------------------ # OATH OR AFFIRMATION | 1. | LOUIS DWORSKY -------- | the summer of a swear (or affirm) that, to the | |-------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------…Read the full text as markdown