Full text of INNOVATION ADVISORS LLC's X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **ITED TATE URITIE A 1 DEX H NG OMMI 10 Washington , D.C. 20549** | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17 A-5 | | PART Ill | | 0MB APPROVAL | | | | | |--------------------------------------|--|--|--|--| | 0MB Number:<br>3235-0123 | | | | | | August 31 , 2020 | | | | | | Expires:<br>Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | | | | | SEC FILE NUMBER | |---------|-----------------| | 8-66255 | | **FACI G PAGE** **Information Required of Brokers and Dealer Pursuant to ection 17** of th e **Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | __<br>____<br>::;0::1/"""0:.:.l/"""19'--<br>I G | _ A D END!<br>G | ___<br>___<br>__,;,1=2/-=-3'-'1/--=-l: 9<br>_ | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------|-----------------------------------------------|--| | | MM/DD/VY<br>A. REGISTRANT IDENTIFl | ATION | MM/DD/VY | | | | | | | | | AME OF BROKER-DEALER: | Innovation Advisors LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRI<br>CI PAL PLAC<br>OF BU IN<br>: (Do not u e P.O. Box<br>o.) | | | FIRM I.D. NO. | | | One Penn Plaza 36th Floor | | | | | | | (No. and Street) | | | | | NEW YORK | NY | | 10119 | | | (City) | (State ) | | (Z ip Code) | | | AME AND TELEPHONE NUMBER OF PER O | TO | O TACT I I REGARD TO THIS REPOR | | | | Alex Mack | | | 917-923-1478 | | | | | | (Area<br>ode - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATIO | | | | | | | | | | | Sanford Becker & Co PC | ( amc - if individual. s/0/e last. firs,. middle 11c1111e) | | | | | | | | | | | 1430 Broadway, Suite 605 | New York | NY | 10018 | | | (Address) | (City) | (State) | (Zip Code) | | | INDEPE DENT PUBLIC ACCOUNTA T whose opinion i contained in th i Report*<br>CHECK ONE:<br>Certified Public Accountant<br>■<br>Public Accountant<br>□<br>Accountant not resident in United States or any of its possessions.<br>□ | | | | | *\*Claims for exemption from the requirement thal 1he annual report be covered by the opinion of* 111 *independent publi ac ·011ntan1 must be supported by a s/atement of fact and circumstances relied on as the basi f or the exemption. e,. 'Ct ion \_.JO. I a-5(e)(\_)* > **Potential persons who…Read the full text as markdown