Full text of AVALON WEALTH MANAGEMENT LLC's X-17A-5/A filed 2020-07-14 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ AVALON WEALTH MANAGEMENT LLC ### FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION ### FOR THE ### YEAR ENDED DECEMBER 31, 2019 ## AND REPORT OF INDEPENDENT REGISTERED #### PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMS APPROVAL OMS Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer response ...... 12.00 SEC FILE NUMBER 8-69066 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE 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 BEGINNING 01-01-2019<br>AND ENDING 12-31-2019 | | | | |-------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|------------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Avalon Wealth Management LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 2929 Allen Parkway, Suite 3000 | | | | | | (No. and Street) | | | | Houston | Texas | | 77019 | | | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Kathy J. Kuria | | | 713-238-2088<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Melton & Melton, L.L.P. | | | | | | (Name - if individual, state last. first, middle name) | | | | 6002 Rogerdale Road, Ste. 200 Houston | | TX | 77072-1660 | | (Address) | | (State) | (Zip Code) | | CHECK ONE:<br>✓ j Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONL V | | | | | | | | *\*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 240.17a-5(e)(2)* > **Potential 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 numbe…Read the full text as markdown