Full text of THE STRATEGIC FINANCIAL ALLIANCE, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ 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: Oct. 31. 2023 Estimated **average** burden hours per response: 12 | | SEC FILE NUMBER | | |--|-----------------|--| | | | | **FACING PAGE Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /21** MM/DD/YY AND ENDING **12/31 /21** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: The Strategic Financial Alliance, Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer O Security-based swap dealer 0 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.) 2200 Century Parkway, Suite 500 (No. and Street) Atlanta GA 30345 (Oty) (Sta te) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Joseph J Martin 678-954-4007 jmartin@thesfa.net **(Name)** (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Dixon Hughes Goodman LLP (Name - if individual, state last, first, and middle name) 500 Ridgefield Ct Asheville NC 28806 (Address) (Oty) (State) (Zip Code) October 8, 2003 57 T" of Reg;""'tio, with PCAOB)l;f appUcable) FOR OFFICIAL USE ONLY (PCAOB Re~=t10, N"mbe,, ;f appUcable) I • Oalms 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-S(e)(l)(II), If applicable. Persons who are to respond to the collectlon of Information contained In this form are not required to re.spond unless the form displays a amently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, JosephJMartln swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of The Strategic Financial Alliance, Inc. as of 12/31 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. …Read the full text as markdown