Full text of EMPIRE STATE FINANCIAL, INC.'s X-17A-5 filed 2022-04-18 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # EMPIRE STATE FINANCIAL, INC. STATEMENT OF FINANCIAL CONDITION FOR THE YEAR ENDED DECEMBER 31, 2021 {1}------------------------------------------------ ### This filing\*\* contains (check all applicable boxes): - m (a) Statement of financial condition. - 00 (b) Notes to unconsolidated or consolidated statement of financial condition, as applicable. D (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in§ 210.1-02 of Regulation S-X). - D (d) Statement of cash nows. - D (e) Statement of changes in stockholders' or partners' or members' or sole proprietor's equity, as applicable. - 10 (f) Statement of changes in liabilities subordinated to clajms of creditors. - D (g) Notes to unconsolidated or consolidated financial statements,, as applicable. - D (h) Computation of ner capital under 17 CFR 240.1 Sc3-1 or I 7 CFR 240. l 8a-1, as applicable. - 0 (i) Computation of tangible net worth under 17 CFR 240. I 8a-2. - 0 U) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240. I 5c3-3. - D (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240. I 5c3- 3 or Exhibit A to 17 CFR 240.18a-4, as applicable. - 0 (I) Computation for Determination of PAB Requirements under Exhibit A to § 240. l ScJ-3. - 0 (m) Information relating to possession or control requirements for customers under I 7 CFR 240.1 ScJ-3. - D (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240. I 5c3- 3(p)(2) or 17 CFR 240. I 8a-4, as applicable. - D (o) Reconci liations, including appropriate explanarions, of the FOCUS Report with computation of net capital or tangible net worth under I 7 CFR 240. I 5c3-I, 17 CFR 240. I 8a-I, or 17 CFR 240.18a-2. as applicable, and the reserve requirements under 17 CFR 240. I 5c3-3 or 17 CPR 240. I 8a-4, as applicable, if material differences exist, or a statement that no materi a I differences exist. - D (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - CE! (q) Oath or affirmation in accordance with 17 CFR 240. 17a-5, 17 CFR 240. I 7a-12, or 17 CFR 240.1 Sa-7, as applicable. - 0 (r) Compliance report in accordance with 17 CFR 240. I 7a-5 or 17 CFR 240. I 8a-7. as applicable. - 0 (s) Exemption report in a…Read the full text as markdown