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

Annual Financial Report - Part II 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 II NAME OF LICENSEE: as of STATEMENT OF FINANCIAL CONDITION Consolidated Unconsolidated as of MM/DD/YY) ASSETS Allowable Cash ............................................... Receivables from broker-dealers Clearance account .................................. Other ............................................. Receivables for investment advisory services Management fees ................................... Other advisory fees ................................ Receivables from non-customers ....................... Securities and spot commodities owned , at market value: Exempted securities ............................... Debt securities ................................... Options ........................................... Other securities .................................. Spot commodities .................................. Securities and/or 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 securities ............... $ Secured demand notes - market value of collateral: Exempted securities ............ $ Other securities ............... $ Memberships in exchanges (Owned, at market) ............ $ (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 accumulation depreciation and amortization ........ Other assets ....................................... TOTAL ASSETS $ $ Non-Allowable $ Total $ $ $ 260.241.2 (PART II) (11-77) -1- American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS iI ANNUAL FINANCIAL REPORT PART II NAME OF LICENSEE: as of STATEMENT OF FINANCIAL CONDITION Consolidated Unconsolidated LIABILITIES AND OWNERSHIP EQUITY Liabilities Bank loans payable ........................................... Payable to broker-dealers Clearance account .......................................... Other ...................................................... Payable to non-customers ..................................... Securities sold not yet purchased, at market value ........... Accounts payable, accrued liabilities, expenses and other .... Deferred Revenues: Investment management and advisory fees .................... Unexpired subscriptions .................................... Other ...................................................... Notes and mortages payable: Unsecured .................................................. Secured. .................................................... Liabilities subordinated to claims of general creditors: Cash borrowings from outsiders .......... $ -Includes equity subordination of ....... $ Securities borrowings, at market value - from outsiders .................. $ Pursuant to secured demand note collateral agreements from outsiders .......................... $ -Includes equity subordination of ....... $ Exchange memberships contributed for use of company, at market value ............................................ Accounts and other borrowings not qualified for net capital purposes ........................................... TOTAL LIABILITIES A.I. Liabilities $ $ Non.A.I. Liabilities $ Total $ $ $ -2- American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART II NAME OF LICENSEE: as of STATEMENT OF FINANCIAL CONDITION Consolidated Unconsolidated LIABILITIES AND OWNERSHIP EQUITY (continued) Ownership Equity Sole proprietorship ........................................................ $ Partnership - Limited partners $ Corporation: Preferred stock .......................................................... Common stock ............................................................. Additional paid-in capital ............................................... Retained earnings ........................................................ Total .................................................................... Less capital stock in treasury ........................................... ( TOTAL OWNERSHIP EQUITY ................................................... TOTAL LIABILITIES AND OWNERSHIP EQUITY ................................... $ $ ) -3- American LegalNet, Inc. www.USCourtForms.com STATF OF CALIFORNIA DEPARTMENT OF CORPORATIONS SCHEDULE 0F SECURITIES PART II NAME OF LICENSEE: as of Valuation Long Short Charge against Net Worth Amount % Quantity Description Price TOTALS NOTE: Similar schedules should be prepared for money market instruments, options and commodity positions in the proprietary or other accounts of the reporting firm. -4- American LegalNet, Inc. www.USCourtForms.com
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