Full text of SEPULVEDA DISTRIBUTORS LLC's X-17A-5 filed 2021-03-01 (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 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTlll** OMB APPROVAL OMS Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... .. ii 2.00 # SEC FILE NUMBER 8-69221 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 T HE PERIOD BEGINNING 01/01/20<br>12/31/20<br>AND ENDING ~~~~~~~~~~~ | | | | |---------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | MWDDIYY | | MM/DDIYY | | | | | | | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do uot use P.O. Box No.) | | FIRM l.D. NO. | | | | | | | | (No. and Street) | | | | | CA | 90025 | | | | (State) | (Zip Code) | | | | | | | | | | | | | | | | (J\rca C<ldc - T dcphone Number) | | | | | | | | | | | | | | | | | | | | | | | Los Angeles | CA | 90017 | | | (City) | (Stale) | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | | | NAME OF BROKER-DEALER: Sepulveda Distributors, LLC<br>11100 Santa Monica Blvd, Ste 2000<br>(Name - if i11dirid11al. s1a1e fos1. | A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT TN REGARD TO THIS REPORT<br>B. ACCOUNTANT JDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT wl10se opinion is contained in this Report*<br>jirs1. middle 11a111e1) | | *\*Claims jbr exemption ji-om !he requirement t/Ja t the a111111al report be corered* by *!he opi11io11 of an i11depe11de111 p ublic accountani must be supported* by *a sfalemenl of facts a11d circ11111slc111ces relied on as the bas;s jbr the exe111ptio11. See Section 240. l 7a-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 OMB control number. {1}------------------------------------------------ # **OATH OR AFFIRMATION** | I. Paul Douglas |…Read the full text as markdown