Full text of FWS RETIREMENT SERVICES, LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Annual Audit Report December 31, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17 A-5 PART Ill FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **8-68491 Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **\_\_\_ 0\_1\_/0\_1\_/2\_2 \_\_\_ AND** ENDING **\_\_\_ 1\_2\_/3\_1\_/2\_2 \_\_ \_** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **\_\_ F\_W\_S\_R\_e\_ti\_re\_m\_e\_nt\_S\_e\_r\_v\_ic\_e\_s\_,\_L\_L\_C \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_** TYPE OF REGISTRANT (check all applicable boxes}: g Broker-dealer • Security-based swap dealer • Check here if respondent is also an OTC derivatives dealer • 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** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING **94111** (Zip Code) **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\* **Ernst Wintter** & **Associates LLP** (Name - if individual, state last, first, and middle name) **675 Ygnacio Valley Road, Suite A200 Walnut Creek California** (Address) (City) (State) **February 24, 2009 3438 94596** (Zip Code) **FOR OFFICIAL USE ONLY (PCAOB Regi,t,atioo N,mbe<,** If **appUcabk,)** I '" 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)(ii), if applicable. **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 0MB control number.** {2}------------------------------------------------ #### OATH OR AFFIRMATION | Brian V. Hasday<br>I, | swear (or affirm) that, to the best of my knowledge and belief, the | | |--------------------------------------------|-------------------------------------------------------------------…Read the full text as markdown