Full text of PROBITAS FUNDS GROUP, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES 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 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | SEC FILE NUMBER | |-----------------| | 8-53512 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17 a-5 Thereunder** | REPORT FOR THE PERIOD BEG1NNING | ___<br>___<br>0_1_/_0_1/_2_0 | AND ENDING | __<br>___<br>_<br>1_2_/_3_1/_2_0 | |---------------------------------------------------------------------------|---------------------------------------------------------|-------------------|-----------------------------------------------| | | MM/DD/YY | | MMIDD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Probitas Funds Group, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 425 California Street Suite 2300 | | | | | | (No. and Street) | | | | San Francisco | CA | | 94104 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Sinead O'Sullivan | | | 415.402.0700<br>(Area Code- Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Weaver and Tidwell~ L.L.P. | | | | | | (Name - if individual. state last. first. middle name 1 | | | | 1230 Rosecrans Avenue Suite 510 Manhattan Beach | | CA | 90266 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | ! ./ j<br>Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | B | | | | | | 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 curre~tly valid 0MB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, \_s\_,·n\_\_…Read the full text as markdown