Fillable Printable Form X-17A-5 Part Iia
Fillable Printable Form X-17A-5 Part Iia
Form X-17A-5 Part Iia
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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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-11 18
4) Special request by designated examining authority 19 5) Other 26
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) — Telephone No.
30 31
NAME(S) OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT: OFFICIAL USE
32 33
34 35
36 37
38 39
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) by
whom 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 considered
integral parts of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as previously
submitted
.
Dated the _______________________________day of _________________________ 20
Manual signatures of:
1)_________________________________________________________________________
Principal Executive Officer or Managing Partner
2) _________________________________________________________________________
Principal Financial Officer or Partner
3) _________________________________________________________________________
Principal Operations Officer or Partner
ATTENTION — 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 (02-03) 1 of 16
TO BE COMPLETED WITH THE ANNUAL AUDIT REPORT ONLY:
INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report
NAME (If individual, state last, first, middle name)
70
ADDRESS
71 72 73 74
Number and Street City State Zip Code
CHECK ONE
Certified Public Accountant FOR SEC USE
Public Accountant
Accountant not resident in United States
or any of its possessions
75
76
77
DO NOT WRITE UNDER THIS LINE . . . FOR SEC USE ONLY
WORK LOCATION REPORT DATE DOC. SEQ. NO. CARD
MM/DD/YY
50 51 52 53
SEC 1696 (02-03) 2 of 16
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER 100
N 3
W
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-Allowable Total
200 7501. Cash .............................................................................. $
2. Receivables from brokers or dealers:
$
295
300
355
418
419
420
424
430
W
3
W
4
A. Clearance account ..............................................
B. Other ..................................................................
3. Receivable from non-customers ................................
4. Securities and spot commodities
owned at market value:
A. Exempted securities ...........................................
B. Debt securities ...................................................
C. Options ...............................................................
D. Other securities ..................................................
E. Spot commodities ..............................................
550
600
810
830
$
W
7
850
5. Securities and/or other investments
not readily marketable:
130A. At cost $
W
2
B. At estimated fair value ........................................ 440
6. Securities borrowed under subordination
agreements and partners’ individual and capital
securities accounts, at market value:
A. Exempted
securities $
B. Other
securities $
7. Secured demand notes: ............................................
Market value of collateral:
460
150
160
470
A. Exempted
securities $
B. Other
securities $
8. Memberships in exchanges:
A. Owned, at
market $
170
180
190
B. Owned, at cost ...................................................
C. Contributed for use of the company, at
860
880
610
630
640 890
650
660 900market value ............................................................
W
6
9. Investment in and receivables from affiliates,
subsidiaries and associated partnerships .......................
10. Property, furniture, equipment, leasehold
improvements 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 ...................................................................
11. Other assets ...................................................................
12.
W
TOTAL ASSETS ....................................................... $
5
W
8
$$
OMIT PENNIES
SEC 1696 (02-03) 3 of 16
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER as of _____________________
STATEMENT OF FINANCIAL CONDITION FOR NONCARRYING, NONCLEARING AND
CERTAIN OTHER BROKERS OR DEALERS
LIABILITIES AND OWNERSHIP EQUITY
A.I. Non-A.I.
Liabilities Liabilities Liabilities Total
1045
W
13. Bank loans payable ................................................ $ $
13
$1255
14. Payable to brokers or dealers:
A. Clearance account ...........................................
B. Other ...............................................................
W
10
15. 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 16851385
18. Notes and mortgages payable:
A. Unsecured ....................................................... 1210
1211
W
1390
W
B. Secured ...........................................................
12 14
19. E. Liabilities subordinated to claims
of general creditors:
A. Cash borrowings: ............................................
970
1400
1690
1700
1710
W
1. from outsiders
9
$
2. includes equity subordination (15c3-1(d))
980of . . . $
B. Securities borrowings, at market value ............
990from outsiders $
1410 1720
C. Pursuant to secured demand note
collateral agreements ...................................... 1420 1730
1. from outsiders $ 1000
2. includes equity subordination (15c3-1(d))
of . . . $ 1010
D. Exchange memberships contributed for
use of company, at market value ........................ 1430 1740
E. Accounts and other borrowings not
qualified for net capital purposes ........................
20. TOTAL LIABILITIES ...................................... $
1220
1230 $
1440
1450 $
Ownership Equity
W
21. Sole Proprietorship ..............................................................................................................................................................................
1020 )
15
$
22. Partnership (limited partners) ....................................
W
11
($
1750
1760
1770
1780
23. Corporation:
A. Preferred stock .............................................................................................................................................................................
B. Common stock .............................................................................................................................................................................
C. Additional paid-in capital ..............................................................................................................................................................
D. Retained earnings .........................................................................................................................................................................
E. Total .............................................................................................................................................................................................
W
F. Less capital stock in treasury .......................................................................................................................................................
16
(
24. TOTAL OWNERSHIP EQUITY ................................................................................................................................................. $
25. TOTAL LIABILITIES AND OWNERSHIP EQUITY ...................................................................................................................... $
1791
1792
1793
1794
1795
) 1796
1800
1810
OMIT PENNIES
SEC 1696 (02-03) 5 of 16
1470
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER as of _____________________
COMPUTATION OF NET CAPITAL
1. Total ownership equity from Statement of Financial Condition ............................................................................................................. $
W
2. Deduct ownership equity not allowable for Net Capital ........................................................................................................................
19
(
3. Total ownership equity qualified for Net Capital ...................................................................................................................................
4. Add:
A. Liabilities subordinated to claims of general creditors allowable in computation of net capital ......................................................
B. Other (deductions) or allowable credits (List) ...............................................................................................................................
5. Total capital and allowable subordinated liabilities ............................................................................................................................... $
6. Deductions and/or charges:
3480
) 3490
3500
3520
3525
3530
A. Total non-allowable assets from
W
17
Statement of Financial Condition (Notes B and C) ................................................................... $
B. Secured demand note delinquency .........................................................................................
3540
3590
C. Commodity futures contracts and spot commodities –
proprietary capital charges .....................................................................................................
D. Other deductions and/or charges ............................................................................................
3600
3610 ( )
7. Other additions and/or allowable credits (List) ....................................................................................................................................
8. Net capital before haircuts on securities positions ...............................................................................................................................
W
20
$
3620
3630
3640
9. Haircuts on securities (computed, where applicable, pursuant to 15c3-1(f)):
A. Contractual securities commitments .......................................................................................$
B. Subordinated securities borrowings ........................................................................................
C. Trading and investment securities:
3660
3670
3735
3733
3730
3734
3650
3736 (
1. Exempted securities .........................................................................................................
W
2. Debt securities .................................................................................................................
W
3. Options ............................................................................................................................
30
4. Other securities ................................................................................................................
D. Undue Concentration ..............................................................................................................
E. Other (List) ........................................................................................................................
18
) 3740
10. Net Capital .......................................................................................................................................................................................... $
OMIT PENNIES
SEC 1696 (02-03) 7 of 16
3750
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER as of _____________________
COMPUTATION OF NET CAPITAL REQUIREMENT
Part A
11. Minimum net capital required (6
2
/
3
% of line 19) ................................................................................................................................... $
12. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement
of subsidiaries computed in accordance with Note (A) ....................................................................................................................... $
13. Net capital requirement (greater of line 11 or 12) ................................................................................................................................ $
14. Excess net capital (line 10 less 13) ..................................................................................................................................................... $
15. Excess net capital at 1000% (line 10 less 10% of line 19) ..................................................................................................................
W
22
$
COMPUTATION OF AGGREGATE INDEBTEDNESS
16. Total A.I. liabilities from Statement of Financial Condition .................................................................................................................... $
17. Add:
W
A. Drafts for immediate credit ..................................................................................................... $
21
3800
B. Market value of securities borrowed for which no equivalent value
is paid or credited ...................................................................................................................$
C. Other unrecorded amounts (List) ............................................................................................ $
3810
3820 $
18. Total aggregate indebtedness .............................................................................................................................................................. $
19. Percentage of aggregate indebtedness to net capital (line 18 ÷ by line 10) ........................................................................................ %
20. Percentage of debt to debt-equity total computed in accordance with Rule 15c3-1(d) ........................................................................ %
COMPUTATION OF ALTERNATE NET CAPITAL REQUIREMENT
Part B
21. 2% of combined aggregate debit items as shown in Formula for Reserve Requirements pursuant to Rule 15c3-3
prepared as of the date of the net capital computation including both brokers or dealers and consolidated subsidiaries’ debits .......... $
22. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement of
subsidiaries computed in accordance with Note (A) ............................................................................................................................
W
23
$
23. Net capital requirement (greater of line 21 or 22) ................................................................................................................................ $
24. Excess capital (line 10 less 23)........................................................................................................................................................... $
25. Net capital in excess of the greater of:
A. 5% of combined aggregate debit items or $120,000 .................................................................................................................... $
NOTES:
(A) The minimum net capital requirement should be computed by adding the minimum dollar net capital requirement of the reporting broker dealer and, for each
subsidiary to be consolidated, the greater of:
3756
3758
3760
3770
3780
3790
3830
3840
3850
3860
3970
3880
3760
3910
3920
1. Minimum dollar net capital requirement , or
2. 6
2
/
3
% of aggregate indebtedness or 4% of aggregate debits if alternative method is used.
(B) Do not deduct the value of securities borrowed under subordination agreements or secured demand note covered by subordination agreements not in satisfactory form
and the market values of memberships in exchanges contributed for use of company (contra to item 1740) and partners’ securities which were included in non-allowable
assets.
(C) For reports filed pursuant to paragraph (d) of Rule 17a-5, respondent should provide a list of material non-allowable assets.
SEC 1696 (02-03) 9 of 16
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
3932 to
W
24
Number of months included in this statement
STATEMENT OF INCOME (LOSS)
REVENUE
1. Commissions:
a. Commissions on transactions in exchange listed equity securities executed on an exchange ....................................................... $
b. Commissions on listed option transactions ..................................................................................................................................
W
25
c. All other securities commissions ..................................................................................................................................................
d. Total securities commissions .......................................................................................................................................................
2. Gains or losses on firm securities trading accounts
a. From market making in options on a national securities exchange ................................................................................................
b. From all other trading ...................................................................................................................................................................
c. Total gain (loss) ...........................................................................................................................................................................
3. Gains or losses on firm securities investment accounts ......................................................................................................................
W
4. Profit (loss) from underwriting and selling groups ...............................................................................................................................
26
5. Revenue from sale of investment company shares .............................................................................................................................
6. Commodities revenue ..........................................................................................................................................................................
7. Fees for account supervision, investment advisory and administrative services ..................................................................................
8. Other revenue ......................................................................................................................................................................................
9. Total revenue ....................................................................................................................................................................................... $
EXPENSES
10. Salaries and other employment costs for general partners and voting stockholder officers .................................................................
11. Other employee compensation and benefits ........................................................................................................................................
12. Commissions paid to other broker-dealers ..........................................................................................................................................
13. Interest expense ..................................................................................................................................................................................
a. Includes interest on accounts subject to subordination agreements .......................................
For the period (MMDDYY) from
4070
14. Regulatory fees and expenses .............................................................................................................................................................
15. Other expenses ...................................................................................................................................................................................
16. Total expenses .................................................................................................................................................................................... $
NET INCOME
17. Income (loss) before Federal income taxes and items below (Item 9 less Item 16) ............................................................................. $
W
18. Provision for Federal income taxes (for parent only) ............................................................................................................................
28
19. Equity in earnings (losses) of unconsolidated subsidiaries not included above ...................................................................................
a. After Federal income taxes of ................................................................................................. 4338
20. Extraordinary gains (losses) ................................................................................................................................................................
a. After Federal income taxes of ................................................................................................. 4239
21. Cumulative effect of changes in accounting principles ........................................................................................................................
22. Net income (loss) after Federal income taxes and extraordinary items ................................................................................................ $
MONTHLY INCOME
23. Income (current month only) before provision for Federal income taxes and extraordinary items ........................................................ $
3933
3931
3935
3938
3939
3940
3945
3949
3950
3952
3955
3970
3990
3975
3995
4030
4120
4115
4140
4075
4195
4100
4200
4210
4220
4222
4224
4225
4230
4211
SEC 1696 (02-03) 11 of 16
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
For the period (MMDDYY) from _____________ to ______________
STATEMENT OF CHANGES IN OWNERSHIP EQUITY
(SOLE PROPRIETORSHIP, PARTNERSHIP OR CORPORATION)
1. Balance, beginning of period ............................................................................................................................................................... $
A. Net income (loss) .........................................................................................................................................................................
W
B. Additions (Includes non-conforming capital of ....................................................................... $
29
C. Deductions (Includes non-conforming capital of ..................................................................... $
4262 )
4272 )
2. Balance, end of period (From item 1800) ............................................................................................................................................
STATEMENT OF CHANGES IN LIABILITIES SUBORDINATED
TO CLAIMS OF GENERAL CREDITORS
$
4240
4250
4260
4270
4290
3. Balance, beginning of period ...............................................................................................................................................................
W
30
$
A. Increases......................................................................................................................................................................................
B. Decreases ....................................................................................................................................................................................
4300
4310
4320
4. Balance, end of period (From item 3520) ............................................................................................................................................ $
OMIT PENNIES
SEC 1696 (02-03) 13 of 16
4330
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER as of _____________________
EXEMPTIVE PROVISION UNDER RULE 15c3-3
24. If an exemption from Rule 15c3-1 is claimed, identify below the section upon which such exemption is based (check one only)
A. (k)(1) — $2,500 capital category as per Rule 15c3-1 .................................................................................................................
B. (k)(2)(A) — “Special Account for the Exclusive Benefit of customers” maintained .......................................................................
C. (k)(2)(B) — All customer transactions cleared through another broker-dealer on a fully disclosed basis.
W
Name of clearing firm
30
4335
D. (k)(3) — Exempted by order of the Commission (include copy of letter) ......................................................................................
4550
4560
4570
4580
W
33
Ownership Equity and Subordinated Liabilities maturing or proposed to be withdrawn within the next six months
and accruals, (as defined below), which have not been deducted in the computation of Net Capital.
Type of Proposed Amount to be
Withdrawal or Withdrawn (cash (MMDDYY) Expect
Accrual Insider or amount and/or Net Withdrawal or to
(See below Outsider? Capital Value of Maturity Renew
for code ) Name of Lender or Contributor (In or Out) Securities) Date (Yes or No)
4620 4621 4622 4623 4624
4600 4601 4602 4603 4604 4605
W
31
4610 4611 4612 4613 4614 4615
W
32
4630 4631 4632 4633 4634 4635
W
34
4640 4641 4642 4643 4644 4645
W
35
Total $
W
36
4699
OMIT PENNIES
Instructions: Detail Listing must include the total of items maturing during the six month period following the report date, regardless of whether or not the capital contribution is
expected to be renewed. The schedule must also include proposed capital withdrawals scheduled within the six month period following the report date including
the proposed redemption of stock and anticipated accruals which would cause a reduction of Net Capital. These anticipated accruals would include amounts of
bonuses, partners’ drawing accounts, taxes, and interest on capital, voluntary contributions to pension or profit sharing plans, etc., which have not been deducted
in the computation of Net Capital, but which you anticipate will be paid within the next six months.
WITHDRAWAL CODE: DESCRIPTIONS
1. Equity Capital
2. Subordinated Liabilities
3. Accruals
SEC 1696 (02-03) 15 of 16
4625
