Full text of FWS RETIREMENT SERVICES, LLC's X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Annual Audit Report December 31, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION **Washington,** D.C. **20549** OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated **avera1e** burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART** Ill SEC FILE NUMBER **8-68491** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ---------<br>01/01/21 | AND ENDING | ----------<br>12/31/21 | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|-----------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | FWS Retirement Services, LLC<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>• Security-based swap dealer<br>!St Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | One California Street, Suite 400 | • | | | | | | (No. and Street) | | | | | San Francisco | California | | 94111 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Brian V. Hasday | (415) 878-2310 | | BHasday@frenkel.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing•<br>Ernst Wintter & Associates LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | | (Address) | (City) | (State) | (Zip Code) | | | February 24, 2009 | | | 3438 | | | | | | (PCAOB '''""'"" N,m,.,, • apPlkabl•J I | | | r·<br>of '"'""''" with PCAOB)lff applfGbl•J FOR OFFICUU. USE ONLY | | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(i…Read the full text as markdown