Full text of ADVANCED STRATEGIES BROKER DEALER 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}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL<br>0MB Number: 3235-0123 | | |---------------------------------------|--| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER 8-69118 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|------------------------------------------| | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/21 | .,<br>MM/DD/YY | AND ENDING 12/31 /21 | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: ADVANCED STRATEGIES BROKER DEALER LLC | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!il Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 1308 DALLAS ROAD | | | | | | (No. and Street) | | | | | CHATTANOOGA<br>TN | | 37405 | | (City) | (State) | | {Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | CHARLES BIKAS | 423-580-4307 | | CBIKAS@ASBDLLC.COM | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | OHAB AND COMPANY, PA | (Name - if individual, state last, first, and middle name) | | | | | 100 E SYBELIA AVE, SUITE 130 MAITLAND | FL | 32751 | | (Address) | (City) | (State) | (Zip Code) | | JULY 28, 2004 | | 1839 | | | l"<br>"''~""°"<br>w"h PCAOB)Uf appt,cable)<br>of | | | )PCAOB Regosfrafoo N,mbe,, ;f appUcable) | | | FOR OFFICIAL USE ONLY | | | | | | | | • Claims for exemption from the requ irement 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 240.17a-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in…Read the full text as markdown