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
11: STMT FIN COND Statement of Financial Condition -- PDF 66K
stmtfindcond1
13: STMT FIN COND NOTES Notes to Statement of Financial Condition PDF 583K
-- stmtfindcondnotes1
14: STMT INCOME Statement of Income -- stmtincome1 PDF 66K
10: STMT CASH FLOW Statement of Cash Flows -- stmtcashflow1 PDF 578K
12: STMT CHG SH EQY Statement of Changes in Stockholders', PDF 44K
Partners' or Sole Proprietors' Equity --
stmtchg1
5: COMP NET CAP Computation of Net Capital -- compnetcap PDF 71K
9: RECONCIL CAP RESERV Reconciliation (or Statement) re: PDF 58K
Material Differences (or None) Between
the FINRA FOCUS Report and Computation
of Net Capital or Computation for
Determination of Reserve Requirements --
reconcilcapreserva
6: EXEMP RPT Exemption Report -- exemprpta PDF 93K
2: ACCT RPT STMT FIN CO Accountant's Report re: Examination of PDF 234K
Statement of Financial Condition --
accrrptstmtfinco
3: ACCT RPT FIN RPT Accountant's Report re: Examination of PDF 456K
Financial Report or Financial Statements
-- acctrptcomplrpt
4: ACCT RPT EXEMP RPT Accountant's Report re: Review of PDF 123K
Exemption Report -- acctrptexemptrpt
7: OTHER Other Disclosure -- otherfuturesa PDF 49K
8: OTHER Other Disclosure -- othersipcreporta PDF 332K
RECONCIL CAP RESERV — Reconciliation (or Statement) re: Material Differences (or None) Between the FINRA FOCUS Report and Computation of Net Capital or Computation for Determination of Reserve Requirements — reconcilcapreserva
This is a PDF Document.
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Filing Submission 0001072132-18-000001 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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