Full text of ASPIRATION FINANCIAL LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNrfE.D~ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per resoonse ..•..• 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FlLE NUMBER | | |-----------------|--| | | | | e-70066 | | **FACING PAGE** Information **Required** of **Brokers and Dealers Pursuant** to **Section 17** of the **Securities Exchan.ge Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 11/15/18 | -~~--------<br>AND ENDING 12/~1/1 g | | | | | |-------------------------------------------------------------------------------------------|---------------------------------------------------------|---------|------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER:ASPIRATION FINANCIAL, LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use P.O. Box No,) | | | FIRM J.b. NO. | | | | 4551 GLENCOE AVE; SUITE 300 | | | | | | | | (No. and Street) | | | | | | MARINA DEL REY | CA | | 90292 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Jay Gettenberg | | | (212} 668-8700 | | | | | | | (Area Code-Telephone Number) | | | | | B.ACCOUNTANTIDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | ALVAREZ & ASSOCIATES, INC. | | | | | | | I | (Name - ifindiv{d11al, .state Jast,fir:st, middle name) | | | | | | 9221 CORBIN AVENUE, SUITE 165 NORTHRIDGE | | CA | 91324 | | | | (Address) | (City). | {State) | {Zip Code) | | | | CHECK ONE: | | | | | | | I<br>✓<br>Certi fled 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 reporJ be covered by the opinion of an independent public accountant must be supported* by *a statement of facts and circumstances relied on as the ba~is for the exemption. See Section 240.17 a-5(e)(2)* > **Potential persons who are to respond to the collectlon of** I **ntormatlon contal ned In this form are not re qui red to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (06-02) {1}-----------------------------…Read the full text as markdown