Full text of TRADIER BROKERAGE, INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # TRADIER BROKERAGE, INC. (a QSSS Subsidiary of Tradier, Inc) Statement of Financial Condition DECEMBER 31, 2019 {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PART III | | OMB APPROVAL | | |---------------------------|-----------------| | OMB Number: | 3235-0123 | | Expires: | August 31, 2020 | | Estimated average burden | | | hours per response 12.00 | | ## SEC FILE NUMBER 8-52972 FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | AND ENDING 12/31/19<br>REPORT FOR THE PERIOD BEGINNING 01/01/19 | | | | |------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|---------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: TRADIER BROKERAGE, INC. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 11016 Rushmore Dr, Suite 350 | | | | | | | (No. and Street) | | | | | Charlotte | NC | 28277 | | | | (City) | (Suite) | | (Zip Codc) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Steven C Bander | | | 646,290,7248 | | | | | | (Area Code -- Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>PKF O'Connor Davies, LLP | (Name - if individual, state fast, first, middle neme) | | | | | 665 Fifth Avenue | New York | NY | 10022 | | | (Address) | (City) | (Slalo) | (Zip Code) | | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | \*Clains for exemption from the requirement that the opinion of an independent public accomtuni nust be supported by a statement of facts and circumstances relied on as the basis for the cremption, See Section 240. 7a-5(c)(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 OMB control number. {2}…Read the full text as markdown