Full text of BWK TRINITY CAPITAL SECURITIES LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PURSUANT TO RULE 17A-5 > DECEMBER 31, 2019 (CONFIDENTIAL) {1}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL 0 MB Number: 3 235·01 23 Expires: August 31. 2020 Estimated average b urden hours per res[Jonse ...... 12.00 I SEC FILE NUMBER 8-65334 # **ANNUAL AUDITED REPORT FORM X·17A-5 PART Ill** **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 01/01/2019 | | AND ENDING 12/31/2019 | ---------- | | |--------------------------------------------|---------------------------------------------------------------------------|-----------------------|--------------------------------|--| | | MM/DD/YY | | MMIDD.IYY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF BROKER-DEALER: BWK Trinity Capital Securities, LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM 1.0. NO. | | | 11755 Wilshire Blvd Suite 2450 | | | | | | | {No. and Street) | | | | | Los Angeles | CA | | 90025 | | | (City) | (State) | | (Zip Code) | | | Eugene Orrico 310-268-8330 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THlS REPORT | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report" | | | | | | DeMarco Sciaccotta Wilkens & Dunleavy, LLP | | | | | | {Name - 1findtridu11/, stale last, first, middle name) | | | | | | 9645 W Lincolnway Lane Ste 214A Illinois | CA | 60423 | | | (Address) | (Cily) | (State) | (7.ip Cod~) | | | CHECK ONE: | | | | | | I<br>✓<br>certified Public Accountant | | | | | | Public Accountant | | | | | | Accoun | t 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 accountanl must be l-upported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l7a-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 dis…Read the full text as markdown