Annual Financial Report by a Broker-Dealer — Form X-17A-5
Filing Table of Contents
Document/Exhibit Description Pages Size
1: X-17A-5 Annual Financial Report by a Broker-Dealer -- HTML 8K
primary_doc.xml
9: STMT FIN COND Statement of Financial Condition -- PDF 187K
stmtfincond1
10: STMT FIN COND NOTES Notes to Statement of Financial Condition PDF 1.46M
-- stmtfincondnotes1
11: STMT INCOME Statement of Income -- stmtincome1 PDF 163K
7: STMT CASH FLOW Statement of Cash Flows -- stmtcashflow1 PDF 201K
8: STMT CHG SH EQY Statement of Changes in Stockholders', PDF 143K
Partners' or Sole Proprietors' Equity --
stmtchgsheqy1
6: COMP NET CAP Computation of Net Capital -- compnetcap1 PDF 233K
3: ACCT RPT FIN RPT Accountant's Report re: Examination of PDF 628K
Financial Report or Financial Statements
-- acctrptfinrpt1
4: ANC/OTC AGD PROC Supplemental Report re: Applying Agreed-Upon PDF 572K
Procedures for Computing Certain Capital
Charges for OTC Derivatives Dealers --
ancotcagdproc1
12: MAT INADEQ RPT Report (or Statement) re: Material PDF 131K
Inadequacies Found (or Not) Since the
Date of the Previous Audit --
matinadeqrpt1
5: OTHER Assertions Regarding Exemption Provisions -- PDF 291K
assertions1
2: OTHER Report of Independent Registered Public Accounting PDF 369K
Firm -- acctrptexemprpt1
MAT INADEQ RPT — Report (or Statement) re: Material Inadequacies Found (or Not) Since the Date of the Previous Audit — matinadeqrpt1
This is a PDF Document.
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Filing Submission 0001396610-16-000003 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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