X-17A-5: Submission Information

Report for the Period Beginning

01-01-2018

and Ending

12-31-2018

Type of Registrant

Broker-dealer

Security-based swap dealer

Major security-based swap participant

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Firm

HARBOR FINANCIAL SERVICES, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

RSA BATTLEHOUSE TOWER

Address 2

11 NORTH WATER STREET, STE 21290

City

MOBILE

State/Country

ALABAMA

Mailing Zip/ Portal Code

36602

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Marc Whitehead

Telephone Number

251-445-2427

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Goldman & Company, CPA's

Address 1

3535 Roswell Rd.

Address 2

Suite 32

City

Marietta

State/Country

GEORGIA

Mailing Zip/ Postal Code

30062

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Marc Whitehead, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of HARBOR FINANCIAL SERVICES, LLC, as of 12-31-2018, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

Marc Whitehead

Title

President & CEO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

X-17A-5: Filer Information

Submission Contact Information