Full text of FINALIS SECURITIES LLC's X-17A-5 filed 2022-02-07 (period 2021-12-31). 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 YEAR ENDED DECEMBER 31, 2021 #### 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}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III sec file number 8-70425 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------| | | | 12/31/2021<br>MM/DD/YY | | | | filing for the period beginning 01/01/2021<br>MM/DD/YY | | | | AND ENDING | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Finalis Securities LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>■ Broker-dealer<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.) | | | | | | 7 Pixley Avenue, #404 | | | | | | | | (No. and Street) | | | | | Corte Madera | CA | | 94925 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Tad Bull | 917.923.9649 | | | tad.bull@rubiconconsultinggroup.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Alvarez & Associates, Inc | | | | | | 9221 Corbin Avenue, Suite 165 Northridge | | (Name - if individual, state last, first, and middle name) | CA | 91324 | | (Address) | (City) | | (State) | (Zip Code) | | 10/16/2018 | | | 6517 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | * Claims for exemption from the requirement that the annual reports of an independent public | | FOR OFFICIAL USE ONLY | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii…Read the full text as markdown