Full text of DE PAOLA TRADING, INC.'s X-17A-5 filed 2020-11-23 (period 2020-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . .. . 12.00 | SEC FILE NUMBER | |-----------------| | 8-67586 | 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 PERTOD BEGINNING 10/01/19 AND ENDING 09/30/20 ---------------------- MM/ DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEA LER: DE PAOLA TRADING INC. OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) FIRM I.D. NO. C/0 BAYAT CONSULTING INC., 14 WALL STREET, 20TH FLOOR (No. and Street) NEW YORK NY 10005 NAM E AND TELEPHONE NUMBER OF PERSON TO CONTACT lN REGARD TO TI-llS REPORT (Area Code - Telephone Number) # B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* LERNER SIPKIN CPAS LLC (Name - *ifmdn•idual. state /asL.flrst. middle name)* 420 LEXIGNTOf'J AVENUE, SUITE 2160 NEW YORK (Address) C HECK ONE: I./ !certifi ed Pu blic Accountant DPublic Accountant (City) D Accountant not resident in United States or any of its possessions. r FOR OFFICIAL USE ONLY NY 10170 (State) (Zip Code) *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement offacts and circumstances relied on as the basis for the exemption. See Section 240. I 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 OMB control number. SEC 1410 (11-05) (City) (State) (Zip Code) {1}------------------------------------------------ ## **OATH OR, AFFlRMA TJON** l, !:!:f <sup>~</sup>JULIAN DE PAOlA . , s-wear {nr Jffirm) th<ll, 1() lht: b(;'\l ot my knnwh:Jgc itllU hclkf the uccomp::mying Hnnttei:ll liHHement and supporting '>thcdulc'S pertaining *w* tb\.· nrm pf 06 PAOLA TRAD.ING INC, \_\_\_ .,.....J at~ true and corrccL I (nnher >.we <sup>n</sup>(tlr aflirm) thm nl!ill!er the company nor any partner~ proprtelor, pr1nelpal oJ'llccr or director h:a.s ~ny proprie tary mterest in an:r ttfJIJ tH tlai.~tl1 <sup>d</sup>' olcly as that of a cu\$torner, exccp~ as fbUows: '" : Nota ry Public TIIi…Read the full text as markdown