Full text of SEPULVEDA DISTRIBUTORS LLC's X-17A-5 filed 2022-03-17 (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 # ANNUAL REPORTS FORM X-17A~S PART Ill OMS APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-69221 | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------| | FILING FOR THE PERIOD BEGINNING Q 1/Q1 /21 | | AND ENDING 12/31 /21 | | | | MM{DD/YY | | MM{DD{YY | | | A. REGISTRANT IDENTIF!CATION | | | | NAME oF FIRM: Sepulveda Distributors, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>0 Security-based swap dealer<br>0 Check here if respondent is also an OTC derivatives dealer | | 0 Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 11000 Santa Monica Blvd, Ste 2000 | | | | | | (No. and Street) | | | | Los Angeles | CA | | 90025 | | {City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | (Name) | (Area Code -Telephone Number) | (Email Address} | | | | 8. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Ernst & Young LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 725 S. Figueroa Street | Los Ang.eles | CA | 90017 | | (Address) | (City) | (State) | (Zi p Code) | | 10/20/2003 | | 42 | | | | | (PCAOB R•gi>tration N"mb"• ;f •pplk | • bl•) | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(1)(i1}1 if applicable. Persons who are to respond to the collection of information contained In this form are not required to respond unless the form displays e currently valid OMB control number, {1}------------------------------------------------ ### OATH OR AFFIRMATION | I, Paul Douglas | swear {or affirm) that, to the best of my knowledge and belief, the | | |-----------------|--------------------------------------------------------------------------------------|-------| | | financial report perta…Read the full text as markdown