Full text of FOUNDERS M&A ADVISORY, LLC's X-17A-5 filed 2022-02-22 (period 2021-12-31). 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-S | | PART Ill | | OMB APPROVAL | | |--------------------------|----| | OMS Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | SEC FILE NUMBER 8-69638 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING _1_/_1 /_2_1 | ____ | ANO ENDING _1_2_/3_1_/_2_1 | ___<br>_ | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | MM/OD/VY | | MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: Founders M&A Advisory, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Ii Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 2400 Fifth Avenue South, Suite 100 | | | | | | (No. and Street) | | | | Birmingham | AL | | 35233 | | (City) | (State) | | (Zip, Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Karen Alvarez | 770-263-7300 | | kalvarez@foreside.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFllCATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Warren Averett, LLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 2500 Acton Road | Birmingham | AL | 35243 | | (Address) | (City) | (State) | (ZiipCode) | | 5/17/05 | | 2226 | | | (Date of Re11:istration with PCAOBllif aoolicable) | | | (PCAOS Registration Number, if aoolicable) | | •Claims for exemption from the requirement that the annual reports be covered by the repo·rts of an independent public | FOR OFFICIAL USE ONLY | | | 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 contilined in this form are not required to respond unless the form displays a…Read the full text as markdown