Full text of FWS RETIREMENT SERVICES, LLC's X-17A-5 filed 2025-04-01 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Annual Audit Report December 31, 2024 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. **20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response· 12 SEC FILE NUMBER 8-68491 Information **Required Pursuant** to **Rules 17a-5,** 17a-12, and **18a-7** under **the Securities Exchange Act** of **1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 0"-1"'-/0"-1'"'"'/2=-4----\_ AND ENDING \_ \_ ----:.1:2/=3~1=-=/2:....:4 \_\_ MM/00/YY MM/00/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: FWS Retirement Services LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D 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 (Name) (415) 878-2310 (Area Code - Telephone Number) BHasday@frenkel.com (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 Blvd, Suite A200 Walnut Creek California (Address) (City) (State) February 24, 2009 3438 94596 (Zip Code) (Date of Registration wit h PCAOB)(if applicable) (PCAOB ReRistratlon Number, if applicable) **FOR OFFICIAL 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.l 7a-5(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** <sup>I</sup> I, Brian V. Hasday I. swe~r (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of FWS Retirement Services, LLC • as of **\_\_\_\_\_\_\_ Jo<D,...e,..c.,,e .... mJ.J.Wb~e:.Lr..lo3£..J.J1.** 202!\_…Read the full text as markdown