SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC. X-17A-5 (2018-03-01) — Broker-dealer annual report

Full text of SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.'s X-17A-5 filed 2018-03-01 (period 2017-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
• Form: X-17A-5
• Filed: 2018-03-01
• Period: 2017-12-31
• Accession: 0001440656-18-000003
• CIK: 1440656
• File #: 8-67957
• Material weakness: No
• Auditor: RSM US LLP
• Auditor location: Stamford, CT
• Contact: Alicia Noyes
• Phone: 8607244504
• Signed by: Peter Lahaie (SVP, Fin-Op)

Document text (excerpt)

X-17A-5 0001440656 XXXXXXXX LIVE true false false 01-01-2017 12-31-2017 Broker-dealer N SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC. 190 TRUMBULL STREET SUITE 301 HARTFORD CT 06103 Alicia Noyes 8607244504 RSM US LLP 200 Elm Street Stamford CT 06902 Certified Public Accountant Peter Lahaie SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC. 12-31-2017 Peter Lahaie SVP, Fin-Op Y

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Other filings by this registrant

• X-17A-5 — 2023-03-14
• X-17A-5 — 2022-03-01
• X-17A-5 — 2021-03-02
• X-17A-5 — 2020-03-02
• X-17A-5/A — 2019-02-28
• X-17A-5 — 2019-02-27
• X-17A-5 — 2017-02-28
• X-17A-5 — 2016-03-07
• X-17A-5 — 2015-03-02
• X-17A-5 — 2014-02-27
• X-17A-5 — 2013-03-01
• X-17A-5 — 2012-06-07

Original filing on SEC EDGAR (source of record)