Full text of SEQUENCE FINANCIAL SPECIALISTS LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). 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: August 31, <sup>2020</sup> Estimated average burden # hours per response 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | s-66657 | **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<br>FOR THE PERIOD BEGINNING | 01/01/2019 | 12/31/2019<br>AND ENDING | | |--------------------------------------------------------------|------------------------------------------------|----------------------------------------------|----------------------------------| | | MM/DD/YY | | MM/DD/YY | | | REGISTRANT<br>A. | IDENTIFICATION | | | NAME OF BROKER-DEALER: Sequence | Financial | Specialists,<br>LLC | OFFICIAL USE ONLY | | ADDRESS<br>OF PRINCIPAL<br>781<br>Street<br>Suite<br>Meeting | PLACE OF BUSINESS:<br>not use P.O.<br>(Do<br>B | Box No.) | FIRM I.D.<br>NO. | | | (No. and Street) | | | | Charleston | SC | | 29403 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE<br>W. Michael Grady | NUMBER OF PERSON TO<br>CONTACT | IN REGARD TO<br>THIS | REPORT<br>843-853-8222 | | | | | (Area Code -Telephone<br>Number) | | | ACCOUNTANT<br>B. | IDENTIFICATION | | | INDEPENDENT<br>PUBLIC | ACCOUNTANT<br>whose<br>opinion<br>is contained | in this<br>Report* | | | Company,<br>LLC<br>Glaser<br>& | | | | | | (Name -if | individual, state last, first, middle name ) | | | Street,<br>149<br>East<br>Bay | Suite<br>200<br>Charleston | SC | 29401 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | /<br>Certified<br>Public | Accountant | | | | Public<br>Accountant | | | | | Accountant<br>not resident | in United States<br>or any of | its possessions. | | | | OFFICIAL<br>USE<br>FOR | 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)* **Potential persons who are to respond to the collection of information containedinthis form are not required to respond** SEC <sup>1410</sup> **unless theform displays <sup>a</sup> currently valid OMB control number.** (06-02) {1}------------------------------------------------ ### *…Read the full text as markdown