Form X-17A-5 Focus Report Part IIA (SEC1696) {X-17A-5} | Pdf Fpdf Docx | Official Federal Forms

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Form X-17A-5 Focus Report Part IIA (SEC1696) {X-17A-5} | Pdf Fpdf Docx | Official Federal Forms

Form X-17A-5 Focus Report Part IIA (SEC1696) {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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form X-17A-5 FOCUS REPORT (Financial and Operational Combined Uniform Single Report)PART IIA 12(Please read instructions before preparing Form.) This report is being filed pursuant to (Check Applicable Block(s)): 1)Rule 17a-5(a)16 2)Rule 17a-5(b)17 3)Rule 17a-11184)Special request by designated examining authority19 5)Other26 NAME OF BROKER-DEALER SEC FILE NO. 14 FIRM I.D. NO. 13 ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do Not Use P.O. Box No.) 15 FOR PERIOD BEGINNING (MM/DD/YY) 20 (No. and Street) 24 AND ENDING (MM/DD/YY)21 22 23 (City) (State) (Zip Code) 25 NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT (Area Code) 227 Telephone No. 3031 NAME(S) OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT: OFFICIAL USE 3233 3435 3637 3839 DOES RESPONDENT CARRY ITS OWN CUSTOMER ACCOUNTS? YES 40 NO 41 CHECK HERE IF RESPONDENT IS FILING AN AUDITED REPORT 42 EXECUTION: The registrant/broker or dealer submitting this Form and its attachments and the person(s) bywhom it is executed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements, and schedules are consideredintegral parts of this Form and that the submission of any amendment represents that allunamended items, statements and schedules remain true, correct and complete as previouslysubmitted. Dated the day of 20 Manual signatures of: 1)Principal Executive Officer or Managing Partner 2) Principal Financial Officer or Partner3) Principal Operations Officer or PartnerATTENTION 227 Intentional misstatements or omissions of facts constitute Federal Criminal Violations. (See 18 U.S.C. 1001 and 15 U.S.C. 78:f(a)) Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1696 () 1 of 16 American LegalNet, Inc. www.FormsWorkFlow.com TO BE COMPLETED WITH THE ANNUAL AUDIT REPORT ONLY:002 INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report NAME (If individual, state last, first, middle name) 70 ADDRESS 71 727374 Number and Street City State Zip Code CHECK ONE Certified Public Accountant FOR SEC USE Public Accountant Accountant not resident in United States002or any of its possessions002 75 76 77 DO NOT WRITE UNDER THIS LINE . . . FOR SEC USE ONLY WORK LOCATION REPORT DATE DOC. SEQ. NO. CARD MM/DD/YY 5051 5253 SEC 1696 () 2 of 16 American LegalNet, Inc. www.FormsWorkFlow.com FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT002PART IIA002 BROKER OR DEALER 100 N 3 1 STATEMENT OF FINANCIAL CONDITION FOR NONCARRYING, NONCLEARING AND CERTAIN OTHER BROKERS OR DEALERS as of (MM/DD/YY) SEC FILE NO. 99 98 198 199 Consolidated Unconsolidated Allowable Non-Allowable003Total 200 750 1.Cash .............................................................................. $2.Receivables from brokers or dealers:$ 295 300 355 418 419 420 424 430 3 4 A.Clearance account ..............................................002B.Other ..................................................................0023.Receivable from non-customers ................................0024.Securities and spot commoditiesowned at market value:A.Exempted securities ...........................................002B.Debt securities ...................................................002C.Options ...............................................................002D.Other securities ..................................................002E.Spot commodities ..............................................002 550 600 810 830 $ 7 850 5.Securities and/or other investmentsnot readily marketable: 130 A.At cost $ 2 B.At estimated fair value ........................................002 440 6.Securities borrowed under subordination agreements and partners222 individual and capitalsecurities accounts, at market value:A.Exemptedsecurities $B.Othersecurities $7.Secured demand notes: ............................................Market value of collateral: 460 150 160 470 A.Exemptedsecurities $B.Othersecurities $8.Memberships in exchanges:A.Owned, atmarket $ 170 180 190 B.Owned, at cost ...................................................002C.Contributed for use of the company, at 860 880 610 630 640 890 650 660 900 market value ............................................................002 6 9.Investment in and receivables from affiliates,subsidiaries and associated partnerships ....................... 10.Property, furniture, equipment, leaseholdimprovements and rights under lease agreements,at cost-net of accumulated depreciation and 480 670 910 680 735 740 920 930 940 490 535 540 amortization ...................................................................00211.Other assets ...................................................................00212.TOTAL ASSETS ....................................................... $0025 8 $$ OMIT PENNIES SEC 1696 () 3 of 16 American LegalNet, Inc. www.FormsWorkFlow.com FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT002PART IIA002BROKER OR DEALER003as of STATEMENT OF FINANCIAL CONDITION FOR NONCARRYING, NONCLEARING AND002CERTAIN OTHER BROKERS OR DEALERS002LIABILITIES AND OWNERSHIP EQUITYA.I.Non-A.I. Liabilities Liabilities Liabilities Total 1045003 13.Bank loans payable ................................................ $ $ 13 $ 1255 14.Payable to brokers or dealers:A.Clearance account ...........................................002B.Other ............................................................... 1000215.Payable to non-customers ..................................... 1114 1115 1155 1315 1305 1355 1560 1540 1610 16.Securities sold not yet purchased,at market value ....................................................... 1360 1620 17.Accounts payable, accrued liabilities,expenses and other ................................................ 1205 1685 1385 18.Notes and mortgages payable:A.Unsecured .......................................................002 1210 1211 1390 B.Secured ...........................................................00212 14 19.E. Liabilities subordinated to claimsof general creditors:A.Cash borrowings: ............................................ 970002 1400 1690 1700 1710 1.from outsiders 9 $ 2.includes equity subordination (15c3-1(d)) 980 of . . . $002B.Securities borrowings, at market value ............002 990 from outsiders $002 1410 1720 C.Pursuant to secured demand notecollateral agreements ......................................002 1420 1730 1.from outsiders $ 1000 2.includes equity subordination (15c3-1(d))of . . . $002 1010 D.Exchange memberships contributed foruse of company, at market value ........................002 1430 1740 E.Accounts and other borrowings notqualified for net capital purposes ........................00220.TOTAL LIABILITIES ...................................... $002 1220 1230 $ 1440 1450 $ Ownership Equity 21. Sole Proprietorship .............................................................................................................................................................................. 1020 )003 15 $00222. Partnership (limited partners) .................................... 11 ($002 1750 1760 1770 1780 23.Corporation:A. Preferred stock .............................................................................................................................................................................002B.Common stock .............................................................................................................................................................................002C.Additional paid-in capital ..............................................................................................................................................................002D.Retained earnings .........................................................................................................................................................................002.Total ...............................................................................

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