Full text of FALLBROOK CAPITAL SECURITIES CORP.'s X-17A-5 filed 2024-03-20 (period 2023-12-31). 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** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 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 | ----------<br>111/2023 | AND ENDING | | -----------<br>12/31/2023 | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|-----------------------------------------------| | | MM/DD/VY | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | ___<br>NAME OF FIRM: | F_a_llb_r_o_o_k_C_a_p_i_ta_l_S_e_c_u_ri_ti_es_C_o_rp_. | | | ______________<br>_ | | TYPE OF REGISTRANT (check all applicable boxes):<br>IRl Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D 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 | | | | | | | (No. and Street) | | | | | Calabasas | | CA | | 91302 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Carol Ann Kinzer | 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 | 30062 | | (Address) | (City) | | (State) | (Zip Code) | | 6/25/2009 | | 1952 | | | | rte of Regl>traMa with PCAOB)(lf appllcable) | | | | I<br>(PCAOB RegJ,trnMa N,mbe,, If applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained i…Read the full text as markdown