SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC. X-17A-5/A (2019-02-28) — Broker-dealer annual report

Full text of SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.'s X-17A-5/A filed 2019-02-28 (period 2018-12-31). 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/A
• Filed: 2019-02-28
• Period: 2018-12-31
• Accession: 0001440656-19-000002
• CIK: 1440656
• File #: 8-67957
• Material weakness: No
• Auditor: RSM US LLP
• Auditor location: Stamford, CT
• Contact: Alicia Noyes
• Phone: 860-724-4504
• Signed by: Mitchell Leidner (CFO)

Document text (excerpt)

X-17A-5/A 0001440656 XXXXXXXX LIVE true false false 01-01-2018 12-31-2018 Broker-dealer N SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC. 190 TRUMBULL STREET SUITE 301 HARTFORD CT 06103 Alicia Noyes 860-724-4504 RSM US LLP 200 Elm Street 2nd Floor Stamford CT 06902 Certified Public Accountant Mitchell Leidner SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC. 12-31-2018 Mitchell Leidner CFO 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 — 2019-02-27
• X-17A-5 — 2018-03-01
• 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)