Full text of FALLBROOK CAPITAL SECURITIES CORP.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). 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 REPORTS FORM X-17A-5 PART III** OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8 - 52068 **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 _____________________ AND ENDING ______________________ | 1/1/2021 | | 12/31/2021 | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: _______________________________________________________________________ | Fallbrook Capital Securities Corp. | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☐<br>☐<br>X<br>Broker-dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ☐ | Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 26610 Agoura Rd, Suite 120<br>_____________________________________________________________________________________ | | | | | | (No. and Street) | | | | Calabasas<br>_____________________________________________________________________________________ | | CA | 91302 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Carol Ann Kinzer<br>_____________________________________________________________________________________ | 678-525-0992 | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Goldman & Company, CPA's. P.C. | | | | | _____________________________________________________________________________________ | (Name – if individual, state last, first, and middle name) | | | | 3535 Roswell Rd. Suite 32 | Marietta | | GA<br>30062 | | _____________________________________________________________________________________<br>(Address) | (City) | | (Sta…Read the full text as markdown