Full text of THE FORBES SECURITIES GROUP LLC's X-17A-5 filed 2022-02-28 (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: 12 SEC FILE NUMBER 8-69926 **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 | ___<br>0_1_/0_1_/_2_1 | __<br>AND ENDING | ___<br>__<br>_<br>12_/_3_1/_2_1 | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------|--------------------------------------------|--|--|--| | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | ____<br>NAME OF FIRM: | T_h_e_F_o_r_b_e_s_S_e_c_ur_it_ie_s_G_ro_u_p_L_L_C | | ____________<br>_ | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Security-based swap dealer<br>□ Major security-based swap participant<br>□ Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 6400 S Fiddlers Green Circle, Suite 850 | | | | | | | | (No. and Street) | | | | | | | | Greenwood VIiiage | co | | 80111 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Ana R. Carter | 813-442-1645 | | ana.carter@forbessg.com | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | Goldman & Company, CPA's, P.C. | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 3535 Roswell Rd., Ste 32 | Marietta | GA | 30062 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 06/25/2009 | | | 1952 | | | | | l''<br>of R,g;stmloo with PCAOB)(lf appUcabl,) | | | (PCAOB R,g;,trafoo N,mb,c, ;1 applkabl,) I | | | | | | FOR OFFICIAL USE ONLY | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and…Read the full text as markdown