Full text of FEARNLEY SECURITIES, INC's X-17A-5 filed 2025-02-28 (period 2024-12-31). 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-5 PART** Ill | 0MB APPROVAL | | | |--------------------------|--|--| | 0MB Number: 3235-0123 | | | | Expires: Nov. 30, 2026 | | | | Estimated average burden | | | | hours per response: 12 | | | SEC FILE NUMBER 8-69566 | Information Required Pursuant to Rules 17a-5, 17a-1Z, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|------------------------------------------------------------|--|----------------------|---------|--------------------------------------------| | | | | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2024 | | | | | | AND ENDING 12/31/2024 | | | | MM/DD/YY | | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Fearnley Securities, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>C!J Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | | | | □ Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 880 Third Avenue, 16Th Floor | | | | | | | | | | (No. and Street) | | | | | | New-York | | | | | | 1.0022 | | (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) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>DCPA | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 2121 AVE OF THE STARS #800 CENTURY CITY | | | | | CA | 90067 | | (Address) | | (City) | | | (State) | (Zip Code) | | 09/15/2020 | | | | | 6567 | | | (Date of Registration with PCAOB)(if applicable) | | | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | * 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 a…Read the full text as markdown