Full text of FALLBROOK CAPITAL SECURITIES CORP.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB APPROVAL | | |--------------------------|---------------------------| | 0MB Number: | 3235-0123 | | Expires: | October 31, 2023 | | Estimated average burden | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | |--|-----------------| | | | **8- 52068** **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 BEGINNING | ----------<br>1/1/2020 | AND ENDING | -----------<br>12/31/2020 | |------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------|------------------------------------------------| | | MM/DD/YY | - | MM/DD/ Y Y | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Fallbrook Capital Securities Corp. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 2661 o Agoura Rd, Suite 120 | | | | | | (No . and Street) | | | | Calabasas | CA | | 91302 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | Carol Ann Kinzer | 678-525-0992<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Goldman & Company, CPA's. P.C. | (Name - if individual. state last, first, middle name) | | | | 3535 Roswell Rd. Suite 32 | Marietta | GA | 30062 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | 0<br>Certified Public Accountant | | | | | Public Accountant | | | | | B | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report 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)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB contr…Read the full text as markdown