Full text of NAVY FEDERAL BROKERAGE SERVICES, LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). 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 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours er resoonse ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** SEC FILE NUMBER **B- 67161** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Ruic 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | ___<br>___<br>o_11_0_1_12_0_2_o | AND ENDING | __<br>__<br>_<br>1_2_/3_1_/_2_0_2_0 | |---------------------------------------------------------------------------------------------------------|---------------------------------------------------------|---------------|-------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTlFICATION | | | | NAME oF BROKER-DEALER: Navy Federal Brokerage Services, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 820 Follin Lane SE | | | | | | (No. and Street) | | | | Vienna | VA | | 22180 | | | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>XIAONING GUNN | | | 571-455-0939 | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Pricewaterhousecoopers, LLP | | | | | | (Name - 1/ indil'idual. state las/, first, middle name) | | | | 1800 Tysons Blvd. | Mclean | VA | 22102 | | (Address) | | (State) | (Zip Code) | | CHECK ONE: | | | | | lccrtificd Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims.for exemptionfi-0,11 the requirement that the annual report be covered by the opinion ofan independent public accountant 11111st be supported by a statement of/acts and circumstances relied on as the basis/or the exemption. See Section 240.* J *7a-5(e)(2)* > Potential 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}------------------------------------------------ #### **OATH OR AFFIRMATION** | J, | ______________<br>D_ia_n_e_Y_o_u_n_g | ____________ , swear ( or affirm) that, to the best of | |-…Read the full text as markdown