Full text of HANSON MCCLAIN RETIREMENT NETWORK, LLC's X-17A-5 filed 2022-04-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Hanson McClain Retirement Network, LLC dba AW Securities (SEC ID No. 8-52250) # Financial statements and supplemental information December 31, 2021 # PUBLIC DOCUMENT Filed Pursuant to Rule 17-A-5(E)(3) as a Public Document {1}------------------------------------------------ **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: Oct. 31, 2023 | | | | Estimated average burden | | | | hours per response: 12 | | | SEC FILE NUMBER 8-52250 **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 **0 1/01 /21** MM/DD/YY AND ENDING **12/31 /21** MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM : Hanson McClain Retirement Network, LLC TYPE OF REGISTRANT {check all applicable boxes): C!l Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) # 340 Palladio Parkway, Suite 501 | | (No. and Street) | | | |------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------|-----------------------------------------| | Folsom | CA | | 95630 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Gary Grigsby | 469-694-0458 | Gary. Grigsby@allworthfinancial.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP | (Name - if individual, state last, first, and middle name) | | | | 725 S. Figueroa, Ste 600 | Los Angeles | CA | 90017 | | (Address) | (City) | (State) | (Zip Code) | | | | 42 | | | | | | {PCAOB Reg;m,ooa N,mbec, ;f ,ppHcoble)I | | | 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…Read the full text as markdown