Full text of FWS RETIREMENT SERVICES, LLC's X-17A-5 filed 2024-03-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Annual Audit Report December 31, 2023 {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III 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 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 12/31/23 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION ### NAME OF FIRM: FWS Retirement Services, LLC TYPE OF REGISTRANT (check all applicable boxes): lif - --- -- -- -- -- -- -- -------------------------------------------------------------------------------------------------------------------------------------------------- മ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer 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 Blvd, Suite A200 Walnut Creek | | California | 94596 | | (Address) | (City) | (State) | (Zip Code) | | February 24, 2009 | | 3438 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a stat…Read the full text as markdown