Full text of SEQUENCE FINANCIAL SPECIALISTS LLC's X-17A-5 filed 2024-03-22 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number:323S-0123 Expires:Nov.30,2026 Estimated average burden hours per response: 12 **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-66657 **FACING PAGE Information Required Pursuant to Rules <sup>17</sup>a-5, <sup>17</sup>a-12, and 18a-7 under the Securities Exchange Act of 1934** <sup>01</sup>/01/2023 <sup>12</sup>/31/<sup>2023</sup> **FILING FOR THE PERIOD BEGINNING AND ENDING** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION NAME OF FIRM:**Sequence Financial Specialists LLC **TYPE OF REGISTRANT (check all applicable boxes): 0 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 <sup>a</sup> P.O. box no.)** 181 E Evans St, Suite C-1 (No. and Street) Florence SC 29506 (City) (State) (Zip Code) **PERSON TO CONTACT WITH REGARD TO THIS FILING** W. Michael Grady 843-853-8222 mgrady@sequencefinancialspecialists.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\*** Phillip V. George, PLLC (Name -if individual,state last,first,and middle name) 5179 CR 1026 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 <sup>17</sup> CFR 240.17a-5(e)(l)(ii),if applicable. Persons who are to respond tothe collection of information containedin this form are notrequired to respond unless the form displays <sup>a</sup> currently valid OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | <br>( | swear (or affirm) that,<br>the best of my knowledge and belief,<br>W. Michael<br>to<br>the<br>Grady | | | | | | |------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown