Clarkeson Research Inc. – ‘X-17A-5’ for 12/31/17

On: Wednesday, 2/28/18, at 10:14am ET · Effective: 2/28/18 · For: 12/31/17 · Accession #: 1396610-18-1 · File #: 8-67612

Document/Exhibit Description Pages Size 1: X-17A-5 Annual Financial Report by a Broker-Dealer -- HTML 7K primary_doc.xml 11: FULL Full Annual Financial Report -- fullrpt PDF 2.12M 8: STMT FIN COND Statement of Financial Condition -- stmtfincond PDF 656K 10: STMT FIN COND NOTES Notes to Statement of Financial Condition PDF 4.76M -- stmtfincondnotes 9: STMT INCOME Statement of Income -- stmtincome PDF 487K 6: STMT CASH FLOW Statement of Cash Flows -- stmtcashflow PDF 707K 5: STMT CHG SH EQY Statement of Changes in Stockholders', PDF 435K Partners' or Sole Proprietors' Equity -- stmtchgsheqy 3: COMP NET CAP Computation of Net Capital -- compnetcap PDF 757K 12: ACCT RPT FIN RPT Accountant's Report re: Examination of PDF 233K Financial Report or Financial Statements -- acctrptfinrpt 7: ANC/OTC AGD PROC Supplemental Report re: Applying Agreed-Upon PDF 2.08M Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers -- ancotcagdproc 2: OTHER Other Disclosure -- acctrptexemprpt PDF 1.07M 4: OTHER Other Disclosure -- assertions PDF 855K

X-17A-5: Submission Information

Report for the Period Beginning

1/1/17

and Ending

12/31/17

Type of Registrant

Broker-dealer

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Broker-dealer

CLARKESON RESEARCH INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

19 TOWNSEND SQUARE

Address 2

SUITE 1200

City

OYSTER BAY

State/Country

NEW YORK

Mailing Zip/ Portal Code

11771

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Steven C Bender

Telephone Number

(646) 290-7248

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Breard & Associates, Inc.

Address 1

9221 Corbin Avenue

Address 2

Suite 170

City

Northridge

State/Country

CALIFORNIA

Mailing Zip/ Postal Code

91324

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Brian Bornstein, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of CLARKESON RESEARCH INC., as of 2/27/18, 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

Brian Bornstein

Title

Managing Director

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

Clarkeson Research Inc. – ‘X-17A-5’ for 12/31/17

On: Wednesday, 2/28/18, at 10:14am ET · Effective: 2/28/18 · For: 12/31/17 · Accession #: 1396610-18-1 · File #: 8-67612

Previous ‘X-17A-5’: ‘X-17A-5’ on 2/21/17 for 12/31/16 · Latest ‘X-17A-5’: This Filing

Annual Financial Report by a Broker-Dealer — Form X-17A-5
Filing Table of Contents

X-17A-5 — Annual Financial Report by a Broker-Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Clarkeson Research Inc. – ‘X-17A-5’ for 12/31/17

On: Wednesday, 2/28/18, at 10:14am ET · Effective: 2/28/18 · For: 12/31/17 · Accession #: 1396610-18-1 · File #: 8-67612

Previous ‘X-17A-5’: ‘X-17A-5’ on 2/21/17 for 12/31/16 · Latest ‘X-17A-5’: This Filing

Annual Financial Report by a Broker-Dealer — Form X-17A-5Filing Table of Contents

X-17A-5 — Annual Financial Report by a Broker-Dealer — primary_doc.xml

This ‘X-17A-5’ Document is an XML Data File that may be rendered in various formats:

X-17A-5: Filer Information

Submission Contact Information

X-17A-5: Submission Information

Material Weakness

X-17A-5: A. Registrant Identification

Address of Principal Place of Business (Do not use P.O. Box No.)

Name and Telephone Number of Person to Contact in Regard to this Report

X-17A-5: B. Accountant Identification

Independent Public Accountant

X-17A-5: Signature

Oath or Affirmation

Notary Public

Annual Financial Report by a Broker-Dealer — Form X-17A-5
Filing Table of Contents