Full text of H & L EQUITIES, LLC's X-17A-5 filed 2022-03-22 (period 2021-12-31). 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** | OMl3 APPROVAL | | |--------------------------|--| | 0MB Number: 3235--0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17A-5 PART Ill** **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 _1-'-/--'-1/_202_ | | | _1 _____ AND ENDING __ 12/_3_1/_20__21 ____ _ | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|----|-----------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: __ H_&_L_<br>E_q;_u<br>it<br>ie_<br>s-'---, _<br>LL_<br>_<br>_ | C _____________________ _ | | | | | lYPE OF REGISTRANT (check all applicable boxes):<br>IXI Broker-dealer<br>D Security-based swap dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 117<br>5 Peachtree Street, N.E., Suite 2200 | | | | | | | (No. and Street) | | | | | Atlanta | | | 30361 | | | (City) | GA<br>{State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Charlie B. Mathes | (404) 892-3300 | | cmathes@reit-funding.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Rubio CPA, PC | | | | | | | (Name -if individual, state last, first, and middle name) | | | | | 2727 Paces Ferry Road SE, Ste 2-1680 | Atlanta | GA | 30339 | | | (Address) | (City) | | (State)<br>(Zip Code) | | | /5<br>/5<br>2009 | | | 3 514 | | | (Date of Registration with PCAOB!(ifapi;ilh;able) | FOR OFFICIAL USE ONLY | | (PCAOB Regrstratlon Nurn�er, if applicable) | | • Claims for exemption from Lhe 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…Read the full text as markdown