Full text of INNOVATION ADVISORS LLC's X-17A-5 filed 2019-03-01 (period 2018-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . .. . 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-66255 | **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~l/~0~1/~18~<br>MM/DD/YY | ___<br>AND ENDING | ___<br>____<br>~l=2=/3~1~/ 1~8<br>_<br>MM/DD/YY | |------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-------------------|-------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | Innovation Advisors LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | One Penn Plaza 36th Floor | | | | | | (No. and Street) | | | | NEW YORK | NY | | 10119 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT | | | | | Alex Mack | | | 917-923-1478 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Sanford Becker & Ca PC | | | | | | (Name - if individual, state last, first, middle name) | | | | 1430 Broadway, Suite 605 | New York | NY | 10018 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>Certified Public Accountant<br>■<br>D<br>Public Accountant<br>Accountant not resident in United States or any of its possessions.<br>□ | | | | | | 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 240.17a-5 (e)(2)* {1}------------------------------------------------ #### **OATH OR AFFIRMATION** solely as that of a customer, except as follows: I, Eric Gebaide swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm…Read the full text as markdown