Full text of ROW ASSOCIATES, LLC's X-17A-5 filed 2021-04-15 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Row Associates, LLC and Subsidiary Financial Report December 31, 2020 Filed as PUBLIC information pursuant to Rule 17a-5(d) under the Securities Exchange Act of 1934 .. {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB Number: | 3235-0123 | | |--------------------------|---------------------------|--| | Expires: | October 31, 2023 | | | Estimated average burden | | | | | hours per response 12.00 | | | | | | 0MB APPROVAL | SEC FILE NUMBER | | | |-----------------|--|--| | &-70520 | | | \ **FACING PAGE** **Information Required of Brokers and De.alers Pursuant to Section 17 of the Securities Exchange Act·of 1934 and Rule 17a-S Thereunder** REPORT FOR THE PERIOD BEGINNING **01/01/2020** AND ENDING **12/31/2020** ----------- MM/DD/YY # **A. REGISTRANT IDENTIFICATION** NAME oF BROKER-DEALER: Row Associates, LLC ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 1222 16th Avenue South, Suite 21 (No. and Street) Nashville TN (City) (State) 37212 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Tracie E. O'Keefe, (732) 691-7010 (Area Code - Telephone Number) ### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* ### Frazier & Deeter, LLC | (Name - if indtvidual, state last, first, middle name) | | | | | |--------------------------------------------------------|--|--------|---------|------------| | 222 2nd Avenue South, Ste 1840 Nashville | | | TN | 37201 | | (Address) | | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | 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/acts and circumstances relied on as the basisfor the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to res.pond to the collection of information contained in this form are not required to respond nnlAAA fhA fnrm rtiAnlAVA A tmrrAntlv vAlilt OUR t?nntrnl numhAr** SEC 1410 (11-0Sl OFFICIAL USE ONLY MM/DD/YY FIRM 1.0. NO. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** 1, \_…Read the full text as markdown