Full text of CABRILLO BROKER, L.L.C.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). 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: August 31 , 2020 Estimated average burden hours per response . .. 12.00 > SEC FILE NUMBER 8-67438 ## **ANNUAL AUDITED REPORT FORMX-17A-5 PART** III #### **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 --~0~1~/0~1~/1~9 ___ | | AND ENDING | 12/31/19 | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------| | | MM/DD/YY | | MM!DDIYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER -<br>DEALER: | CABRILLO BROKER, LLC | | | | | | | OFFICIAL USE ONLY | | | | | FIRM ID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 128 S. Oakhurst Dr. Unit 4 | | | | | (No. and Street) | | | | | Beverly Hills<br>CA | | | 90212 | | (City)<br>(State) | | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Chiaming G. Lin | | | (858) 452-9500 | | | | | (Area Code -<br>Telephone No.) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | Michael Coglianese CPA, P.C. | | | | | | (Name - if individual, state last, first, middle name) | | | | 125 E. Lake Street, Ste. 303 | Bloomingdale | IL | 60108 | | (Address)<br>(City) | | (State) | (Zip Code) | | CHECK ONE: | | | | | ~ Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | *\*Claims f or exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of f acts and circumstances relied on as the basis f or the exemption. See section 240.l 7a-5(e)(2).* SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** 1"--Chiami9& G. Lin , swear (or o01m1) that, to the best of my knowledge and belief the accompanying finw1cial stat ments and supporting schedules pertaining to the finn of Cabrillo Broker, LLC\_ \_ , as of December 31, 2019, nro true and correct. I further swea…Read the full text as markdown