Full text of ALMAX FINANCIAL SOLUTIONS, LLC's X-17A-5 filed 2020-03-31 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ AlMax Financial Solutions, L.L.C. Financial Statement For the Year Ended December 31, 2019 {1}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMTSSJON Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . .. . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** SEC FILE NUMBER &-68978 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>__<br>0_ 1 /_0_1_/1_9 | ANDENDING_~~12<br>_ | __ ~<br>/1 9 | | | | |---------------------------------------------------------------------------------------------------------|-------------------------------------------------------|---------------------|--------------------------------|--|--|--| | | MMfDO/YY | | MMIDD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME oF BROKER-DEALER: AIMax Financial Solutions, L.L.C. | OFFICIAL USE ONLY | | | | | | | ADDRESS OF PRINC[PAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | | | 12 Van Syckles Road | | | | | | | | | (No. and Street) | | | | | | | Clinton, | New Jersey | 08809 | | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>281-745-9100<br>Mark Schultz | | | | | | | | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | | Alvarez & Associates, Inc. Certified Public Accountants | | | | | | | | | (Name- if individual, slate last, first, middle name) | | | | | | | 9221 Corbin Ave., Suite 165 | Northridge, | CA | 91324 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE: | | | | | | | | | | | | | | | | I,/ I<br>Certified Public Accountant | | | | | | | | DPublic Accountant | | | | | | | | DAccountant 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 pers…Read the full text as markdown