SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
IL |
Click to view... | Registrant | About | Filings | Files | Relationships | Names | Topics | Web | ||||||||||||||||||||||||||||||
List All Filings | or | ||
---|---|---|---|
Most-Recent Filing: | ‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5 — for 12/31/23 — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | |||||||
---|---|---|---|---|---|---|---|---|---|---|---|
2/29/24 | X-17A-5 | Update: | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5 | 14 | |||||||
2/16/21 | OLD | 13F-HR | Ownership: | Quarterly Holdings and Combination Reports by Money Managers — Form 13F OLD — | 2 | ||||||
3/16/17 | OLD | FOCUSN | Update: | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers OLD | 5 | ||||||
Form-Specific Documents: | |||||||||||
2/16/21 | OLD | INFO-TABLE | Portfolio Securities Holdings – Info Tables — Form 13F OLD — | 2 | |||||||
Broker-Dealer Reports: | |||||||||||
2/29/24 | FULL | Annual Financial Reports (Full) | 7 |
Year | # of Filings | |
---|---|---|
2024 | 1 | |
2023 | 1 | |
2022 | 2 | |
2021 | 2 | |
2020 | 1 | |
2019 | 1 | |
2018 | 1 | |
2017 | 4 | |
2016 | 2 | |
⇑ | ||
2014 | 2 | |
2013 | 2 | |
2012 | 2 | |
2011 | 1 | |
2010 | 1 |