Form X-17A Annual Audited Report Part III (SEC1410) {X-17A-5} | Pdf Fpdf Docx | Official Federal Forms

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Form X-17A Annual Audited Report Part III (SEC1410) {X-17A-5} | Pdf Fpdf Docx | Official Federal Forms

Form X-17A Annual Audited Report Part III (SEC1410) {X-17A-5}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 11/26/2018

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002002002002002002 ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Estimated average burden hours per response.. . . . . 12.00 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC FILE NUMBER 8-FACING PAGE002 Information Required of Brokers and Dealers Pursuant to Section 17 of the002 Securities Exchange Act of 1934 and Rule 17a-5 Thereunder002 REPORT FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY A.REGISTRANT IDENTIFICATIONNAME OF BROKER-DEALER: ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) OFFICIAL USE ONLY FIRM I.D. NO. (No. and Street) (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT (Area Code 226 Telephone Number) B.ACCOUNTANT IDENTIFICATIONINDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* (Name 226 if individual, state last, first, middle name) (Address) (City) (State) (Zip Code) CHECK ONE: Certified Public AccountantPublic AccountantAccountant not resident in United States or any of its possessions.FOR OFFICIAL USE ONLY002 *Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountantmust be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)Potential persons who are to respond to the collection of information contained in this form are not required to respondSEC 1410 () unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com 002 003 003 OATH OR AFFIRMATION002 I, , swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of , as of , 20, are 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 Title Notary Public This report ** contains (check all applicable boxes): Facing Page.Statement of Financial Condition.Statement of Income (Loss).Statement of Changes in Financial Condition.Statement of Changes in Stockholders222 Equity or Partners222 or Sole Proprietors222 Capital.Statement of Changes in Liabilities Subordinated to Claims of Creditors.Computation of Net Capital.Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3.Information Relating to the Possession or Control Requirements Under Rule 15c3-3.A Reconciliation, including appropriate explanation of the Computation of Net Capital Under Rule 15c3-1 and theComputation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods ofconsolidation. (l)003 An Oath or Affirmation.(m) A copy of the SIPC Supplemental Report.(n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. **For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3). American LegalNet, Inc. www.FormsWorkFlow.com

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