Full text of H & L EQUITIES, LLC's X-17A-5/A filed 2021-03-15 (period 2020-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ... ... 12.00 SEC FILE NUMBER 8-53371 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **FACI NG PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the** | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------|------------|-----------------------------------|--| | | 01/01/2020 | | 12/31/2020 | | | REPORT FOR THE PERIOD BEGINNING | MM/DD/YY | AND ENDING | -----------<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: H & L Equities, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | 1175 Peachtree Street, N.E., Suite 2200 | | | | | | | (No. and Street) | | | | | Atlanta | GA | | 30361 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Charlie B. Mathes - (404) 892-3300 | B. ACCOUNTANT IDENTIFICATION | | (Area Code -<br>Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Rubio CPA, PC | | | | | | (Name - | if individual, stale las/, firs/, middle name) | | | | | 2727 Paces Ferry Road SE, Ste 2-1680 | Atlanta | GA | 30339 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>I✓ I<br>Certified Public Accountant<br>Public Accountant<br>B<br>Accountant 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 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 0MB control number.** SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** **I, \_ C \_h\_a\_r\_le \_s\_B\_.\_H\_-a\_ r\_ri\_s\_<sup>o</sup> \_n…Read the full text as markdown