Full text of FIN2, LLC's X-17A-5 filed 2024-06-28 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | SEC FILE NUMBER | | |-----------------|--| | 8-70818 | | | mornation Required Rushent to Rules 173-3, 173-77, and 189-7 nuder the Securities Excluding Frances of 1334 | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|------------------------------------------------------------|-----------------------------------------|-------------------------------------------|--|--| | filing for the period beginning 11/21/2022 | | | _____ AND ENDING 03/31/2024 | | | | | MM/DD/YY<br>MM/DD/YY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | FIN2, LLC<br>name of firm: | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Security-based swap dealer<br>Broker-dealer<br>O Check here if respondent is also an OTC derivatives dealer | | | L Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 80 Broad Street, 5th Floor | | | | | | | | | | (No. and Street) | | | | | | New York<br>NY | | | | 10004 | | | | (State)<br>(City) | | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Keith George | | (212) 668-8700 | | kgeorge@acisecure.com | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Nawrocki Smith | | | | | | | | 100 Motor Parkway, Suite 580 Hauppauge | | (Name - if individual, state last, first, and middle name) | NY | 11788 | | | | (Address) | | (City) | (State) | (Zip Code) | | | | March 4, 2009 | | | 3370 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable | | | | | | FOR OFFICIAL USE ONLY | | | | | {1}------------------------------------------------ | John Kevin Jokela | | | | | | , swear (or affirm) that, to the best of my knowledge and belief, the | | | |-------------------|--|--|--|--|--|-----------------------------------------------------------------------|--|--| | | | | | | | | | | | MONIQUE ROMERO | |----------------------------------| | | | NOTARY PUBLIC. STATE OF NEW YORK | | No. OTRO6308967 | | Qualified in New York County | | My Commission Expires 8/4/2026 | | | - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}-------------…Read the full text as markdown