Full text of N4 FINANCIAL, INC.'s X-17A-5 filed 2023-02-15 (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 OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-66849 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 1/1/2022 | | AND ENDING 12/31/2022 | | | |---------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-----------------------------------------|----------------------------------------------|--| | | MM/00/YY | | MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: N4 Financial, Inc | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 809 Laurel St. Unit 952 | | | | | | | (No. and Street) | | | | | San Carlos | CA | | 94070 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Mark Rogers | (650) 464-7272 | | rogers@n4financial.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Jennifer Wray CPA PLLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 800 Bonaventure Way, Suite 168 Sugar Land | TX | 77479 | | | (Address)<br>11/30/2016 | (City) | (State)<br>6328 | (Zip Code) | | | (rte of Registration with PCAOB)(lf applicable) FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, If applicable) I | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(1)(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 0MB control number. {1}--------------------…Read the full text as markdown