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Annual Financial Report - Part I 260.241.2 (I) - California

Annual Financial Report - Part I Form. This is a California form and can be used in Securities Regulation Division Blue Sky Secretary Of State .
 Fillable pdf Last Modified 10/18/2005
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STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART I NAME OF LICENSEE: as of Consolidated Unconsolidated STATEMENT OF FINANCIAL CONDITION ASSETS $ Allowable Nonallowable $ Total Cash ................................................................ Cash segregated in compliance with federal and other regulations ..... Receivable from broker-dealers and clearing organizations: Failed to deliver: Includable in "Formula for Reserve requirements"................. Other ......................................................... Securities borrowed: Includable in "Formula for Reserve Requirements" ................ Other ......................................................... Omnibus accounts: Includable in "Formula for Reserve Requirements" ................ Other ......................................................... Clearing organizations: Includable in "Formula for Reserve Requirements" ................ Other .......................................................... Other ........................................................ Receivables from customers: Securities accounts: Cash and fully secured accounts ................................. Partly secured accounts ....................................... Unsecured accounts ......................................... Commodity accounts ...................................... Allowance for doubtful accounts ................................ Receivables from investment advisory services: Management Fees ............................................ Other advisory fees ........................................... Receivables from non-customers : Cash and fully secured accounts ............................. Partly secured and unsecured accounts ...................... Securities purchased under agreements to resell ................... Securities and spot commodities owned, at market value: Bankers acceptances, certificates of deposit and commercial paper... U.S. and Canadian government obligations ........................... State and municipal government obligations ........................ Corporate obligations ................................... 260.241.2 (PART I) (11-77) -1- $ ( ) ( ) American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATION ANNUAL FINANCIAL REPORT PART I NAME OF LICENSEE: as of STATEMENT OF FINANCIAL CONDITION ASSETS Stocks and warrants .......................................... Options ..................................................... Arbitrage ................................................... Other securities ............................................. Spot Commodities.............................................. Securities owned not readily marketable: (At cost) ..............................................$ At estimated fair value ..................................... Other investments not readily marketable: (At cost) ..............................................$ At estimated fair value ........................................ Securities borrowed under subordination agreements and partners' individual and capital securities accounts at market value: Exempted securities ...................................$ Other .................................................$ Secured demand notes - market value of collateral: Exempted securities ..................................$ Other ................................................$ Memberships in exchanges: (Owned, at market value) ..............................$ Owned at cost ............................................... Contributed for use of the company, at market value .......... Investment in and receivables from affiliates, subsidiaries and associated partnerships .................................. Property, furniture, equipment, leasehold improvements and rights under lease agreements: (At cost)(net of accumulated depreciation and amortization) ........ Other Assets: Dividends and interest receivable ........................... Free shipments ............................................... Loans and advances ........................................... Miscellaneous ................................................. TOTAL ASSETS Allowable $ Nonallowable Total $ $ $ $ $ -2- American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART I NAME OF LICENSEE: as of STATEMENT OF FINANCIAL CONDITION LIABILITIES AND OWNERSHIP EQUITY Liabilities Bank loans payable: Includable in "Formula for Reserve Requirements" ...................... Other ..................................................... Securities sold under repurchase agreements ............................ Payable to broker-dealers and clearing organizations: Failed to receive: Includable in "Formula for Reserve Requirements" ................... Other .......................................................... Securities loaned: Includable in "Formula for Reserve Requirements" ................... Other .............................................................. Omnibus accounts: Includable in "Formula for Reserve Requirements" ................... Other ......................................................... Clearing organizations: Includable in "Formula for Reserve Requirements" ................... Other .............................................................. Other ............................................................... Payable to customers: Securities accounts - Including free credits of .......$ Commodities accounts ................................................ Payable to non-customers: Securities accounts ................................................. Commodities accounts ......................................... Securities sold not yet purchased at market value - including arbitrage of ..........................................$ Accounts payable and accured liabilities and expenses: Drafts payable .............................................. Accounts payable ............................................ Income taxes payable ........................................ Deferred income taxes ............................................... Accrued expenses and liabilities ............................... Other ........................................................ A.I. Liabilities $ Non-A.I. Liabilities $ $ Total -3- American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART I NAME OF LICENSEE: as of STA
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