Full text of FOUNDERS M&A ADVISORY, LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 | SEC FILE NUMBER | |-----------------| | 8-69638 | **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 01/01/20 | | | -----------<br>AND ENDING 12/31/20<br>MM/00/YY | | |------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|---------|------------------------------------------------|--| | | MM/00/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF BROKER-DEALER: Founders M&A Advisory, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | FIRM 1.0. NO. | | | 2400 Fifth Avenue South, Suite 100 | | | | | | | (No. and Street) | | | | | Birmingham | AL | | 35233 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Karen Alvarez | | | 770-263-7300<br>(Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report•<br>Warren Averett, LLC | | | | | | | (Name - if indil-id11al. slate last. first. middle name) | | | | | 2500 Acton Road | Birmingham | AL | 35243 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>I<br>✓<br>Certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | *\*Claims/or 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.* / *7a-5(e)(2)* > **Potential persons who are to respond to the collectlon of Information contained In this form are not required to respond unless the form displays a currently valld 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Zane P. Tarence | | , swear (or affirm) that, to the best of | | |…Read the full text as markdown