Full text of SEQUENCE FINANCIAL SPECIALISTS LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). 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** OMB APPROVAL Expires: Oct. 31, 2023 hours per response: 12 SEC FILE NUMBER 8-66657 **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 01/01/9022 12/31/2022 FILING FOR THE PERIOD BEGINNING AND END|NG MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** Sequence Financial Specialists LLC NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): K Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 781 Meeting Street, STE B (No. and Street) Charleston SC 29403 (City) (State) (Zip Code) **B. ACCOUNTANT IDENTIFICATION** | | (Name -if<br>individual, state last, first, and middle name) | | | |--------------------------------------------------|--------------------------------------------------------------|--------------------------------------------|------------| | 5179<br>1026<br>CR | Celeste | TX | 75423 | | (Address) | (City) | (State) | (Zip Code) | | 02/24/2009 | | 3366 | | | (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 <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(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. 0MB Number: 3235-0123 Estimated average burden | SEC FILE NUMBER | | |-----------------|--| | 8-66657 | | PERSON TO CONTACT WITH REGARD TO THIS FILING Gilles Cote 843-853-8222 gcote@sequencefinancialspecialists.com (Name) (Area Code -Telephone Number) (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Gilles Cote , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Sequence Financial Specialists LLC , as of December <sup>31</sup> , <sup>…Read the full text as markdown