Full text of J.W. COLE FINANCIAL, INC.'s X-17A-5 filed 2021-03-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES ANDEXCHANGECOMMISSlON Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. .. .. 12.00 > SEC FILE NUMBER **B-65698** **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>_ o_1_10_1_I_2_02_0 | AND E:!\"DING | __<br>__ 1_<br>~1-~_1I_2~2_0<br>_ | | | | |---------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------------|-----------------------------------|--|--|--| | | MM/DD/VY | | MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: J.W. COLE FINANCIAL, INC | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box -:-.lo.)<br>4301 ANCHOR PLAZA PARKWAY SUITE #450 | | | FIRM I.D. NO. | | | | | | (No. and Street) | | | | | | | TAMPA | FL | | 33634 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>GARY HAIGHT 813-337·0516 | | | | | | | | | | | (Area Code - Tel ephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | DEJOY, KNAUF & BLOOD LLP | | | | | | | | | (Name - if individual, stare las/, first, middle name) | | | | | | | 280 EAST BROAD STREET STE #300 | ROCHESTER | NY | 14604 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE: | | | | | | | | I certified Public Accountant | | | | | | | | Public Accountant | | | | | | | | 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/acts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2J* > Potential persons who are to respond to the collection of lnjormation contained in this form are not required to respond unless the form displays a currently valid 0MB control number. SEC 1410 (11-05) {1}-------…Read the full text as markdown