Full text of ADVANCED STRATEGIES BROKER DEALER LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** QMB APPROVAL bMB Number. 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ..... 12.00 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-69118 | | ### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange ct of 1934 and Rule 17a-5 Thereunder** | | __<br>___<br>___ | | | | |-------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------|-------------------------------|--| | REPORT FOR THE PERIOD BEGINING | JANU<br>AR_Y_l~,_2_02_0<br>MM/DD/YY | AND ENDING | DECEMBER 31, 2020<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER DEALER: | ADVANCED STRATEGIES BROKER DEALER, LLC | | OFFICAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM ID. NO. | | | | | 1308 DALLAS ROAD | | | | | | (No. and Street) | | | | | CHATTANOOGA | TN | | 37405 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>CHARLES BIKAS | | | 423-265-4353 | | | | | | (Area Code - Telephone No.) | | | | B. ACCOUNT ANT DESIGNATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | OHAB AND COMPANY, PA | | | | | 100 E. SYBELIA A VENUE, SUITE 130, MAITLAND | (Name - if individual, state last, first, middle name) | FLORIDA | 32751 | | | (Address and City) | | (State) | (Zip Code) | | | CHECK ONE:<br>I:&] Certified Public Accountant<br>0 Public Accountant | | | | | | D Accountant not resident in United States or any of its possessions | | | | | *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 required to respond unless the form displays a current valid 0MB control number.** **SEC 1410 (11-05)** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | CHARLES BIKAS<br>, swear ( or affirm) that, to the<br>I,<br>best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm or | |-----------------------------------…Read the full text as markdown