Full text of FOUNDERS M&A ADVISORY, LLC's X-17A-5 filed 2020-02-24 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response .. . . . . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-69638 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 a nd Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01/01 | /19 | AND ENDING 12/31/19 | | | |-------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------------------|-------------------------------------|--| | | MMIDDIYY | | ---------------------<br>MM/DDIYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME o F BROKER-DEALER: Founders M&A Advisory, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM 1.0 . NO. | | | | | | | | | 2204 Lakeshore Drive, Suite 425 | | | | | | | (No and Street) | | | | | Birmingham | AL | | 35209-8855 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Karen Alvarez | | | 770.263-7300 | | | | | | (Area Code- Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | Warren Averett, LLC | | | | | | | {Name - if indi1•idual. state last. first. middle name) | | | | | 2500 Acton Road | Birmingham | AL | 35243 | | | (Address) | (City) | (State) | (Z1p Code) | | | CHECK ONE: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 'FOR OFFICIAL USE ONLY | | | | | I/" I<br>certified Public Accountant<br>B<br>Public Accountant | Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | | | | | | | | | | *•ctaimsfor exemption from the requirement tha'l 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 t.he basis for the exemption. See Section 240. 17a-5(e)(2)* > 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. SEC 1410 (06·02) {1}------------------…Read the full text as markdown