Full text of UNIVERSAL FINANCIAL SERVICES INC.'s X-17A-5 filed 2024-03-04 (period 2023-12-31). 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 III > > FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/23 MM/DD/YY AND ENDING\_12/31/23 MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: UNIVERSAL FINANCIAL SERVICES, INC. TYPE OF REGISTRANT (check all applicable boxes): E Broker-dealer O Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # METRO OFFICE PARK, STREET 1, LOT 10 | | (No. and Street) | | | |--------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|---------------------------| | GUAYNABO | PR | | 00969 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | JOSE C BENITEZ ULMER 787-706-7339 | | | jobenitez@universalpr.com | | (Name) | (Area Code = Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KEVANE GRANT THORNTON LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 33 CALLE BOLIVIA, SUITE 400 SAN JUAN | | PR | 00917-2013 | | (Address) | (City) | (State) | (Zip Code) | | 11/25/2023 | | 838 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | FOR OFFICIAL USE ONLY \* Claims 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-5(e){1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | SEC FILE NUMBER | |-----------------| | 8-66481 | {1}------------------------------------------------ #### OATH OR AFFIRMATION | | JOSE C BENITEZ ULMER<br>swear (or affirm) that, to the best of my knowledge and…Read the full text as markdown