Full text of WILEY BROS.-AINTREE CAPITAL, LLC's X-17A-5 filed 2021-03-02 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINANCIAL STATEMENTS #### WILEY BROS. ~ AINTREE CAPITAL, LLC ### DECEMBER 31, 2020 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549** 0MB APPROVAL OMS Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oer response ... ... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** | SEC FILE NUMBER | |-----------------| | | | 8-3774 | **FAC[NG PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | AND ENDING DECEMBER 31, 2020<br>MM/DD/YY | MM/0D/YY | REPORT FOR THE PERIOD BEGINNING JANUARY 1, 2020 | | | | |--------------------------------|------------------------------------------|----------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|--|--|--| | A. REGISTRANT IDENTIFICATION | | | | | | | | OFFICIAL USE ONLY | | Aintree Capital, LLC | NAME or BROKER-DEALER: Wiley Bros. - | | | | | FIRM 1.D. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | 40 Burton Hills Blvd., Suite 350 | | | | | | 37215 | (No. and Street)<br>TN | Nashville | | | | | | (Zip Code) | (State) | (City) | | | | | (Area Code - Telephone Number) | 615·255-6431 | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Lisa P. James | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | 37212 | TN | (Name - if individual. state lasl, first, middle name)<br>Nashville | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>The Baker Group, CPAs, P.C.<br>1504 17th Avenue South | | | | | (Zip Code) | (State) | (City) | (Address) | | | | | | | Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | CHECK ONE:<br>I I I<br>certified Public Accountant<br>Publ ic Accountant<br>D | | | | | | | | | | | | *must be supported by a slatement of facts and circumstances relied on as the basis for the exemp1ion. See Section 240.17a-5(e){2)* **Potential persons who are to respond to the collection of Information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (11-05) {2}-------------------------------------------…Read the full text as markdown