# EDGAR Filing Document

**Accession Number:** 0000857504
**File Stem:** 0000857504-25-000001
**Filing Date:** 2025-6
**Character Count:** 2574
**Document Hash:** d7ec59a70c3a9789558f26fe62a48697
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000857504-25-000001.hdr.sgml**: 20250624

**ACCESSION NUMBER**: 0000857504-25-000001

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250331

**FILED AS OF DATE**: 20250624

**DATE AS OF CHANGE**: 20250624

**EFFECTIVENESS DATE**: 20250624

**PERIOD START**: 20240401

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FARINA & ASSOCIATES, INC.
- **CENTRAL INDEX KEY:** 0000857504

**ORGANIZATION NAME:**
- **EIN:** 133542776
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 0331

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-41953
- **FILM NUMBER:** 251067881

**BUSINESS ADDRESS:**
- **STREET 1:** C/O BAYAT CONSULTING, INC.
- **STREET 2:** 14 WALL STREET, 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005
- **BUSINESS PHONE:** 212-742-9105

**MAIL ADDRESS:**
- **STREET 1:** C/O BAYAT CONSULTING, INC.
- **STREET 2:** 14 WALL STREET, 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FARINA & ASSOCIATES INC                                 /BD
- **DATE OF NAME CHANGE:** 19891117

### Attached PDF Documents

**Attachment 1:** `farinapublic2025.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000857504

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** No

### Submission Information

**Report Period Begin Date:** 04-01-2024

**Report Period End Date:** 03-31-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** Yes

### Registrant Identification

**Name of Broker-Dealer:** FARINA & ASSOCIATES, INC.

**Business Address:** 14 WALL STREET, 20TH FLOOR, NEW YORK, NY, 10005

**Contact Person:** Alan Krim

**Contact Phone:** 5165261586

### Independent Public Accountant Identification

**Accountant Name:** Nawrocki Smith LLP

**Accountant Address:** 100 Motor Parkway Suite 580, Hauppauge, NY, 11788

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Joe Stevens**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **FARINA & ASSOCIATES, INC.**, as of **03-31-2025**, are true and correct.

**Signature:** Joe Stevens

**Title:** Pres/CEO

**Notarized:** Yes