Full text of FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC's X-17A-5 filed 2021-09-02 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |---------------------------|-----------| | OMB Number: | 3235-0123 | | Expires: October 31, 2023 | | | Estimated average burden | | | nours per response 12.00 | | 8-69435 SEC FILE NUMBER ### ANNUAL AUDITED REPORT FORM X-17A-5 PART III Public FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the | | | | Securities Exchange act of 1934 and Rule 178-2 Therefination | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|--------------------------------------------------------------| | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Financial Resources Group Investment Services, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>481 Munn Road Ste 225 | | OFFICIAL USE ONLY | | | | | FIRM I.D. NO. | | | | | | | | | (No. and Street) | | | | Fort Mill | SC | | 29715 | | (City) | (State) | | (Zip Code) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Elliot Davis | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | 5410 Trinity Road Ste 320<br>(Address) | Raleigh<br>(City) | NC<br>(State) | 27607<br>(Zip Code) | \*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 facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e){2} SEC 1410 (11-05) 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}------------------------------------------------ DocuSign Envelope ID: 658D1E75-BAFD-44B0-ADED-FE1539C4215C ### OATH OR AFFIRMATION | Edward Bruce Miller | swear ( ====================================================================================================================================================================== | |------------------------------------------------------------------------…Read the full text as markdown