Full text of FEARNLEY SECURITIES, INC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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** | OMBAPPROVAl | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | 12 | | | SEC FILE NUMBER 8-69566 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01/01/2023 | | AND ENDING 12/31 | 23<br>2<br>/<br>0 | |--------------------------------------------|----------|------------------|-------------------| | | MM/DD/YY | | MM/DD/YY | # **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Fearnley Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer □ Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 880 Third Avenue, 16Th Floor | New York | | | | | | |----------------------------------------------|------------------------------------------------------------|--------|--------------------------------|-----------------|-------------------------------------------| | | | | NY | | 10022 | | (City) | | | {State) | | {Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Anthony Shaw | | | (212)-751-4422 | | a.shaw@fearnleys.com | | (Name) | | | (Area Code - Telephone Number) | {Email Address) | | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | RBSM, LLP | (Name - if individual, state last, first, and middle name) | | | | | | 805 Third Avenue, 14th Floor New York | | | | NY | 10022 | | (Address) | | (City) | | (State) | (Zip Code) | | | | | | 587 | | | 9/24/2003 | | | | | | | | | | | | (PCAOB Regl<trnM, N"mbec, "'pp!;ca ble) I | \* Claims for exemption from the requirement 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-S(e)(l)(ii). 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 a currently valid 0MB control number. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | 1, | Jason Peter Fink | | swear (or affirm) that, to the best of my knowledge and belie…Read the full text as markdown