Full text of THE FORBES SECURITIES GROUP LLC's X-17A-5 filed 2021-02-24 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-69926 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **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 01/01/2020 | -----------<br>AND ENDING 12/31/2020 | | | |--------------------------------------------------------------------------------------------------------|--------------------------------------|--------------------------------|--| | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: THE FORBES SECURITIES GROUP LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 6400 S FIDDLERS GREEN CIRCLE, SUITE 850 | | | | | (No. and Street) | | | | | co<br>GREENWOOD VILLAGE | | 80111 | | | (City)<br>(State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Ana R. Carter/ 813-442-1645 | | | | | | | (Arca Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Spicer Jeffries LLP | | | | | (Name - if individual, state last. first, middle name) | | | | | 5251 S. Quebec Street, Ste 200 Greenwood Village | co | 80111 | | | (City)<br>(Address) | (State) | (Zip Code) | | | CHECK ONE: | | | | | Iv' I<br>Certified Public Accountant | | | | | Public Accountant | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement ojfacts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5(e)(2)* SEC 1410 (11-05) **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 0MB control number.** {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | I, Robert Forbes | , swear (or affirm) that, to the best of | |-------------------------------…Read the full text as markdown