Full text of SUN'S BROTHERS SECURITIES INC.'s X-17A-5 filed 2024-01-22 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### SUN'S BROTHERS SECURJTIES, INC. # FTNANCTAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PURSUANT TO RULE 17a-5 #### SEPTEMBER 30, 2023 ### CONFIDFNTI **\L** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-65595 **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 0/01 /2022** MM/00/YY AND ENDING **09/30/2023** MM/00/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: SUN'S BROTHERS SECURITIES INC. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 6770 HAWAII KAI DRIVE #209 | | (No. and Street) | | | | | |----------------------------------------------|---------------------------------------------------------------------------|--------------------|-------------------------------------------|--|--| | HONOLULU | HI | | 96825<br>(Zip Code) | | | | (City) | (State) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | MINWON YANG | 808-538-0590 | SBS@HAWAI I.RR.COM | | | | | (Name) | (Area Code- Telephone Number) | (Email Address) | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | OHAB AND COMPANY, PA | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 100 E SYBELIAAVENUE SUITE 130 | MAITLAND | FL | 32751 | | | | (Address) | (City) | (State) | (Zip Code} | | | | JULY 28, 2004 | | 1839 | | | | | l" | of Regl,t,atloo with PCAOB){;f appllcabl•I FOR OFFICIAL USE ON L V | | (PCAOB Reglwatloo N,mb«, If appllrabl•J I | | | | | | | | | | • Claims for exemption from the 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-5(e}(l)(il}, If applicable. Persons who are to respond to the collection of Information contained in this form ar…Read the full text as markdown