Full text of OPPENHEIMER & CO. INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # OPPENHEIMER & CO. INC. AND SUBSIDIARIES (S.E.C. I.D. No. 8-04077) # CONSOLIDATED BALANCE SHEET # AS OF DECEMBER 31, 2022 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM # \*\*\*\*\*\*\*\* # Filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a Public Document L ' {1}------------------------------------------------ # **Oppenheimer & Co. Inc. and Subsidiaries Table of Contents As of December 31, 2022** (x) (x) (a) (x) (b) () (c) () (d) () (e) () (f) () (g) () (h) () (i) () (j) () (k) () (I) () (m) ( ) (n) () (o) () (p) () (q) () (r) () (s) () (t) () (u) () (v) () (w) () (x) Report of Independent Registered Public Accounting Firm. Consolidated balance sheet Notes to consolidated balance sheet Statement of income (loss) or, ifthere is other comprehensive income in the period(s) presented, a comprehensive income (as defined in § 210.1-02 of Regulation **S-X).** Statement of cash flows. Statement of changes in stockholders' or partners' or sole proprietor's equity. Statement of changes in liabilities subordinated to claims of creditors Notes to consolidated financial statements. Computation of net capital under 17 CFR 240. l 5c3-l or 17 CFR 240. l 8a-l, as applicable. Computation of tangible net worth under 17 CFR 240.18a-2. Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240. l Sa-4, as applicable. Computation for Determination of PAB Requirements under Exhibit A to§ 240.15c3-3. Information relating to possession or control requirements for customers under 17 CFR 240. I 5c3-3. Information relating to possession or control requirements for security-based swap customers under 17 CF 240. l 5c3-3(p )(2) or 17 CFR 240. l 8a-4, as applicable Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net . . . - - -- - . . - -·-- - . - . - . - -·-- - . . . - - Summary of financial data for subsidiaries not consolidated in the balance sheet. Oath or affirmation in accordance with 17 CFR 240. I 7a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. Compliance report in accordance with 17 CFR 240. l 7a-5 or 17 CFR 240. l 8a-7, as applicable. Exemption repori in accordance with I 7 CFR 240. l 7a-5 or 17 CFR 240.1 Sa-7, as applicable. Independent…Read the full text as markdown