Full text of FINALIS SECURITIES LLC's X-17A-5 filed 2021-02-08 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINALIS SECURITIES LLC ### STATEMENT OF FINANCIAL CONDITION #### FOR THE PERIOD APRIL 21, 2020 THROUGH DECEMBER 31, 2020 #### **PUBLIC DOCUMENT** This report is filed in accordance with Rule 17A-5(e) (3) under the Securities Exchange Act of 1934 as a public document. {1}------------------------------------------------ #### **UNlTED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17 A-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 | RF.PORT FOR THE PER TOD BEGINNTNG | 04/21/2020<br>MM/OD/YY | AND ENDING ----=12=/3'-'-l=/2=02=0 | MM/ODIYY | | | |----------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------------------------------|-----------------------------|--|--| | | A.<br>REGISTRANT IDENTIFJCATlON | | | | | | NAME OF BROK.ER-DEALER: | | | OFFICIAL USE ONLY | | | | Finalis Securities LLC | | | | | | | ADDRESS OF PRINClPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM IDNO. | | | | | | 7 Pixley Avenue, #404 | | | | | | | | (No. and Street) | | | | | | Corte Madera | CA | 94925 | | | | | (City) | (Stale) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT TN REGARD TO THIS REPORT | | | | | | | Tad Bull | | | 917.923.9649 | | | | | | | (Area Code - Telephone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this report* | | | | | | | Alvarez & Associates, Inc | | | | | | | | (Name - if individual. :state, la:sl,first. middle name) | | | | | | 9221 Corbin Avenue, Suite 165 | North ridge | CA | 91324 | | | | (Address)<br>CHECK ONE: | (City) | (State) | (Zip Code) | | | | ~ Certified Public Accountant<br>0<br>Public Accountant<br>D 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 of facts and circumstances relied on as the basis for the exemption. See section 240.* J *7a-5(e)(2).* SEC 1410 (06-02) Potential persons who are to respond to the collection of informat…Read the full text as markdown