Full text of GUIDANCE SECURITIES, LLC'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}------------------------------------------------ # **Guidance Securities, LLC** Financial Statements and Supplemental lnfonnation Pursuant to Rule 17a-5 Under the Securities Exchange Act of 1934 As of and for the year ended December 31, 2019 {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll** | | SEC RLE NUMBER | |----|----------------| | | | | 8- | | 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 | ___<br>0_1_/_0_1 f_2_0_1_9<br>MM/DD/YY | __<br>AND ENDING | ___ 1_2_/3_1_/_2_0_19 __<br>_<br>MM/DD/YY | |-----------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------|------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Guidance Securities, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM l.D. NO. | | | 11107 Sunset Hills Road, Suite 200 | | | | | | (No and Street) | | | | Res ton | VA | | 20190 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>Tom Gainor | | | 703-885-0824<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>PricewaterhouseCoopers LLP | (Name - if individual. state last. first. middle name) | | | | 1800 Tysons Blvd | Mclean | VA | 22102 | | (Address) | (City) | (State) | (Zip Code) | | a<br>CHECK ONE:<br>11' I<br>certified Public Accountant<br>Public Accountant<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. I 7a-5(e)(2)* Potential persons who are to respond to the collection of Information contained In this form are not re…Read the full text as markdown