Full text of FINANCIAL ADVOCATES SECURITIES, LLC's X-17A-5 filed 2022-03-28 (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-5 | | PART Ill | | 0MB APPROVAL | | | |---------------------------|--|--| | 0MB Number: 3235-0123 | | | | Expires: Oct, 31, 2023 | | | | Estimated average burden | | | | hours per response:<br>12 | | | | SEC FILE NUMBER | | |-----------------|--| | 8-69827 | | **FACING PAGE** Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/21 MM/DD/YY AND ENDING 12/31 /21 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Financial Advocates Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): **liiiil** Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent ls also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) **1601 Cooper Point Rd NW** (No. and Street) **Olympia WA 98502** (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING **Brian Megenity** ·. ·. **770-263-6003** bmegenity@bdcaonline.com (Name) (Area Code -Telephone Number) (Email Address) **8. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* **RUBIO CPA, PC** (Name - if individual, state last, first, and middle name) 2727 Paces Ferry Rd SE, Suite 2-1680 **Atlanta GA 30339** (Address) (City) (State) (Zip Code) **05/05/2009 3514** (Date of Registration with PCAOB)lif applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** • 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, Gary Campbell swear (or affirm) that, to the best of my knowledge and belief, the **financial report pertaining to the firm of Financial** Advocates Securities, **LLC as of** December 31 2~ is true and correct. I further swear (or affirm) that neither the company nor any **partner, officer, di…Read the full text as markdown