Full text of HALL & ROMKEMA FINANCIAL SERVICES, LLC's X-17A-5 filed 2021-01-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: October 31,2023 Estimated average burden # hours per response 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | s-65800 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | Securities | Exchange<br>Act<br>of<br>1934<br>and | Rule<br>17a-5<br>Thereunder | | | |----------------------------------------------------------------------|--------------------------------------------------------------|-----------------------------------|----------------------------------|--| | REPORT<br>FOR THE<br>PERIOD<br>BEGINNING | AND<br>ENDING | 12/31/2020 | | | | | 01/01/2020<br>MM/DD/YY | | MM/DD/YY | | | A. | REGISTRANT<br>IDENTIFICATION | | | | | Hall<br>NAME OF BROKER-DEALER: | Romkema<br>Financial<br>& | Services,<br>LLC | OFFICIAL USE ONLY | | | BUSINESS:<br>ADDRESS OF<br>PRINCIPAL PLACE OF<br>(Do<br>not use P.O. | | Box No.) | FIRM I.D.<br>NO. | | | 3495<br>Coolidge | | | | | | | (No. and Street) | | | | | East<br>Lansing | Ml | | 48823 | | | (City) | (State) | | (Zip Code) | | | NAME AND<br>TELEPHONE<br>NUMBER OF<br>Joe A. Romkema | PERSON<br>TO<br>CONTACT | IN REGARD<br>TO<br>THIS<br>REPORT | 517-337-8900 | | | | | | (Area Code -Telephone<br>Number) | | | B. | ACCOUNTANT<br>IDENTIFICATION | | | | | INDEPENDENT<br>PUBLIC<br>ACCOUNTANT | whose<br>opinion<br>is<br>contained | Report*<br>in this | | | | V.<br>George,<br>Phillip<br>PLLC | | | | | | | -if<br>individual, state last, first, middle name )<br>(Name | | | | | 5179<br>CR<br>1026 | Celeste | TX | 75423 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | /<br>Certified<br>Public<br>Accountant | | | | | | Public<br>Accountant | | | | | | Accountant<br>not resident | in United<br>States<br>or any of | its possessions. | | | | | OFFICIAL<br>FOR<br>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 offacts 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 notrequired to respond** SEC <sup>1…Read the full text as markdown