Full text of N4 FINANCIAL, INC.'s X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ACCOUNTING FIRM REPORT FINANCIAL STATEMENTS AND INDEPENDENT REGISTERED PUBLIC DECEMBER 31, 2020 {1}------------------------------------------------ # **CONTENTS** | Report of Independent Registered Public Accounting Firm | 1 | |-----------------------------------------------------------------------------------|-------| | Financial Statements | | | Statement of Financial Condition | 2 | | Statement of Operations | 3 | | Statement of Changes in Stockholders' Equity | 4 | | Statement of Cash Flows | 5 | | Notes to Financial Statements | 6 - 7 | | Supplemental Information | | | Schedule I | 8 | | Computation of Net Capital under Rule 15c3-1 | | | Reconciliation with Company's Net Capital Computation | | | Schedule II | 9 | | Computation for Determinination of Reserve Requirement Pursuant<br>to Rule 15c3-3 | | | Information for Possession or Control Requirements under Rule 15c3-3 | | | Reconciliation between Audited and Unaudited<br>Statement of Financial Condition | | | Report of Independent Registered Public Accounting Firm on Exemption Report | 10 | | Exemption Report for SEC Rule 15c3-3 | 11 | {2}------------------------------------------------ #### YRMXIHWXEXIW" WIGYVMXMIWERHI\GLERKIGSQQMWWMSR" [ewlmrkxsr."H0G0"4276=" 0.+"\*11203\*-" 0.+"/B;57?)" '&'(#\$%&'" ,D>9?7@)" ,.63-/4#(&\$#'%'( ,@A9;4A76"4C7?487"5B?67=" (**-** @53"6785";A925?" 66849 # IMROP"NGO"OGPNMLPG''"'"'"'"'")\*'(( ")116)/")6+.5,+"4,3245" -240"7#%')#&" 3)45"..." **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | 01/01/2020 | 12/31/2020<br>REPORT FOR THE PERIOD BEGINNING______________________________ AND ENDING______________________________ | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------|-------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | N4 Financial, Inc.<br>NAME OF BROKER-DEALER: | | | =6673718"A@5"=;8C" | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | 67?9"7'4'";=' | | | 809 Laurel Street #952<b…Read the full text as markdown