Full text of NPB FINANCIAL GROUP, LLC's X-17A-5 filed 2022-03-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ NPB Financial Group, LLC Report Pursuant to Rule 17a-5 ( d) Financial Statements For the Year Ended December 31, 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** EHplres: Oct. 31, 2023 Estimated average burden hours per response: 12 ### **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|---------| | | | | | 8-67113 | MM/DD/VY **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 O 1/01 /21 MM/DD/VY **A, REGISTRANT IDENTIFICATION** # NAME oF FIRM: NPB Financial Group, LLC TYPE OF REGISTRANT (check all applicable boxes): ii Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent Is also an OTC derivatives dealer AND ENDING **12/31 /21** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 3500 W. Olive Ave 3rd Floor | | | (No. and Street) | | | |---------------------------------------------------------------------------|--|------------------------------------------------------------|------------------|----------------------| | Burbank | | CA | | 91505 | | (City) | | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Gary Ching | | 818-827-7132 | | gary.ching@npbfg.com | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Alvarez & Associates, Inc. | | | | | | | | (Name - If Individual, state last, first, and middle name) | | | | 9221 Corbin Avenue, Suite 165 Northridge | | | California 91324 | | | (Address) | | (City) | (State) | (Zip Code) | | 10/16/2018 | | | 6517 | | (PCAOB Re lstratlon Number, If a llcable **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 a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(U), 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. {2}------------------------------------------------ #### OATH **OR AFFIRMATIO…Read the full text as markdown