Full text of COLONIAL SECURITIES, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (SEC File No. 8-17631) Financial Statements and Supplemental Schedule for the Year Ended December 31, 2021 and Independent Auditors' Report This report is deemed PUBLIC in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | OMB APPROVAL | |--------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | # **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | 8-17631 | | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01/01/2021 | | AND ENDING 12/31/2021 | | |----------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Colonial Securities, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>NI Broker-dealer | ❑ Security-based swap dealer<br>❑ Check here if respondent is also an OTC derivatives dealer | ❑ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 80 Bowery Suite 603 | | | | | | (No. and Street) | | | | New York | NY | | 10013 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | David Wong | (212) 587-3970 | | david.wong@colonialsecuritie | | (Name) | (Area Code — Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Wei, Wei and Company, LLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | (Name — if individual, state last, first, and middle name) | | | | 133-10 39th Ave | Flushing | NY | 11354 | | (Address) | (City) | (State) | (Zip Code) | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement tha…Read the full text as markdown