Full text of CODE ADVISORS LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **Statement of Financial Condition** **December 31, 2021** **Public Document** {1}------------------------------------------------ | | UNITED STATES | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|----------------------------------------|----------------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | OMB APPROVAL | | | | Washington, D.C. 20549 | | | | | | | | OMB Number: 3235-0123 | | | | | | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | | | | FORM X-17A-5 | | | SEC FILE NUMBER | | | PART III | | | 8-68511 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Code Advisors LLC | | | | | | ☒Broker-dealer<br>☐Security-based swap<br>☐ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>921 Front Street, 2nd Floor | dealer | ☐Major security-based swap participant | | | | | (No. and Street) | | | | | San Francisco | CA | | 94111 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Richard Daniels | 212-751-4422 | | rdaniels@codeadvisors.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, middle name) | | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | CA | 94596 | | | (Address) | (City) | (State) | (Zip Code) | | | 02/24/2009<br>(Date of Registration with PCAOB)(if applicable) | | | 3438<br>(PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | O \* 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…Read the full text as markdown