Full text of KEANE FINANCIAL, 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}------------------------------------------------ Statement of Financial Condition (Confidential Pursuant to Rule 17a-5(e )(3 )) Year Ended December 31, 2019 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934. {1}------------------------------------------------ | Contents | | | | |----------------------------------------------------------|-----|--|--| | Facing Page to Form X-17A-5 | 2A | | | | Affirmation of Officer | 28 | | | | Report of Independent Registered Public Accounting Firm | 3 | | | | Financial Statement: | | | | | Statement of Financial Condition as of December 31, 2019 | 4 | | | | Notes to Statement of Financial Condition | 5-8 | | | {2}------------------------------------------------ #### **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-01 23 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | | a-66745 | FACING PAGE # Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | AND ENDING 12/31/2019<br>REPORT FOR THE PERIOD BEGINNING 01/01/2019 | | | | |----------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------| | | MM/DD/VY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Keane Financial, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 450 Seventh Avenue, Suite 1707 | | | | | | (No. and Street) | | | | New York | NY | | 10123 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Richard Yeates (646) 564-9227 | | | | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>WIPFLi L.L.P. | | | | | | (Name - if individual. state last. first, middle name) | | | | 170 N. Radnor Chester Road, Suite 200 | Radnor | PA | 19087 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I/"<br>!certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | |…Read the full text as markdown