Full text of CODE ADVISORS LLC's X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2020 Public Document {1}------------------------------------------------ **FORM X-17A-5 PARTIII FACING PAGE** SEC FILE NUMBER **8-68511 Information required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** REPORT FOR THE PERIOD BEGTNNTNG mmldd/yy **A. REGISTRANT IDENTIFICATION 01/01/20** AND ENDING mmldd/yy **12/31/20** NAME OF BROKER-DEALER: **Code Advisors LLC** OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) **921 Front Street 2°d Floor** (No. and Street) **San Francisco** (City) **California** (State) **94111** (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT FrRM I.O. NO. Richard Daniels 212-751-4422 (Area Code - Telephone Number) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report\* Ernst Wintter & A\_ssociates LLP **675 Ygnacio Valley Road, Suite A200** (Address) **CHECK ONE:** 0 Certified Public Accountant D Public Accountant (Name- if individual, state last, first, middle name) **Walnut Creek California** (City) (Sate) D Accountant not resident in United States or any of its possessions. **FOR OFFICIAL USE ONLY 94596** (Zip Code) **UNITED STATES** **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB AP PROV AL 0MB Number: 3235-0 123 Expires: October 31, 2023 Estimated average burden hours per resporrse ...... 12.00 **ANNUAL AUDITED REPORT** *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.J 7a-5(e)(2).* **Potential 11ersons who are to respond to the collection of information contained in this form are not required to respond** SEC 1410 ( 11-05) **unless the form displays a currently valid 0 M B control number.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Steven Machtinger | | , swear (or affirm) that, to the | | |----------------------|------------------------------------------------------------------------------------------------------------------------|----------------------------------|--| | | best ofmy knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of |…Read the full text as markdown