Full text of FOUNDERS M&A ADVISORY, LLC's X-17A-5 filed 2023-02-22 (period 2022-12-31). 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 OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | 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 **01 /01 /22** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Founders M&A Advisory, LLC TYPE OF REGISTRANT (check all applicable boxes): ii!!!! Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant AND ENDING **12/31** /22 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<br>770-263-7300 | | | karen.alvarez@acaglobal.com | | | {Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | B. ACCOUNTANT IDENTIFICATION | | | | | Warren Averett, LLC | {Name - if individual, state last, first, and middle name) | | | | | 2500 Acton Road | Birmingham | AL | 35243 | | | {Address) | (City) | (State) | (Zip Code) | | | 5/17/05<br>rte of Reglstratloo with PCAOB)ltt applicable) | | 2226 | | | \* 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 applicable. **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 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Zane P. Tarence | swear (or affirm) that, to the best of my knowledge and belief, the | |----------------------------…Read the full text as markdown