Full text of S2K FINANCIAL LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **S2K Financial LLC** **Financial Statements and Supplementary Schedules Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31, 2019** {1}------------------------------------------------ **UNITED STA TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.** 20549 | ANNUAL AUDITED REPORT | | |-----------------------|--| | FORM X-17 A-5 | | | PART Ill | | | | 0MB APPROVAL | | |------------|--------------------------|-----------------| | OMBNumber: | | 3235-012 | | | Explres: August 31, 2020 | | | | Eslimated average burden | | | | hours oerresnonse. 12.00 | | | | | SEC FILE NUMBER | | | 8- 69628 | | # **PART** Ill #### **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 THE PERIOD BEGINNING | _____ 0_1'-/0_1<br>.; /2_0_1_9 | ____<br>AND ENDING | ____<br>1_2'-/3_1'-/1_9 ___ | |---------------------------------------------------------------------------|---------------------------------------------------------|--------------------|-----------------------------------------------| | | MM/DDNYYY | | MM/DDNYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | S2K Financial LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P_O. Box No.) | | | FIRM ID. NO. | | 777 Third Avenue, 28th Floor | | | | | | (No and Street) | | | | New York | New York | | 10017 | | (City) | (Mate) | | (Zip Code) | | Mary Lou Malanoski | | | {646) 430-6747<br>(Area Code -- Telephone No) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | RSM US LLP | | | | | | (Name -- i{ individual. stute fosl. firsl~ middle name) | | | | 4 Times Square, 151 W 42nd Street | New York | NY | 10036 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>[!I Certified Public Accountant | | | | | D Public Accountant | | | | | D Accountant not resident in United States or any of its possessions | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | *\*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 statemenl offacls and circumstances relied on as /he basis/or the exemption. See section 240.17a-5(e)(2),* | SEC 1410 (06-02) | | | | |------------------|--|--|--| |------------------|--|--|--| **Pote…Read the full text as markdown