Full text of APA SECURITIES, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). 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, 2020 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 | 2B | | Report of Independent Registered Public Accounting Firm | 3 | | Financial Statement: | | | Statement of Financial Condition as of December 31, 2020 | 4 | | Notes to Statement of Financial Condition | 5-8 | {2}------------------------------------------------ | | UNITEDSTATES | | OMB APPROVAL | |----------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|---------------|-------------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number:<br>3235-0123 | | | Washington, D.C. 20549 | | Expires: October 31, 2023<br>Estimated average burden | | | ANNUAL AUDITED REPORT | | hours per response . 12.00 | | | FORM X-17A-5 | | | | | | | SEC FILE NUMBER | | | PART III | | 8-66745 | | | FACING PAGE | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/20 | AND ENDING | 12/31/20 | | | MMDD/YY | | MM/DD/Y Y | | | 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 | | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report® | | | | | WIPFLi LLP | | | | | | (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: | | | | | Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United…Read the full text as markdown