Full text of HANSON MCCLAIN RETIREMENT NETWORK, LP'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}------------------------------------------------ # **Hanson McClain Retirement Network, LLC dba AW Securities (SEC ID No. 8-52250)** **Annual Audit Report** **December 31, 2020** # **PUBLIC DOCUMENT** Filed Pursuant to Rule 17-A-5(H)(3) as a Public Document {1}------------------------------------------------ **UNITED ST ATES SECURITJESANDEXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ... . .. 12.00 SEC FILE NUMBER 8-52250 # **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 01/01/20 | | AND ENDING 12/31/20 | ---------- | |-----------------------------------------------------------------------------------------|--------------------------------------------------------|---------------------|--------------------------------| | | MM/DD/YY | - | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Hanson McClain Retirement Network, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | 8775 Folsom Blvd., Suite 100 | | | | | | (No. and Street) | | | | Sacramento | California | | 95826 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Corey Gamble | | | 916-475-1351 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Ernst Wintter & Associates LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 675 Ygnacio Valley Road, Suite A200 Walnut Creek | | California | 94596 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | IV I<br>Certified Public Accountant | | | | | Public Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*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/acts and circumstances relied on as the basis.for the exemption. See Section 240.* J *7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in thi…Read the full text as markdown