Full text of WILEY BROS.-AINTREE CAPITAL, LLC'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}------------------------------------------------ # FINANCIAL STATEMENTS # WILEY BROS. - AINTREE CAPITAL, LLC # DECEMBER 31, 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | |--------------------------| | 0MB Number: 323.5-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | # **ANNUAL REPORTS FORM X-17A-S PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-3774 | | **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 | ___<br>___ o_1_to_1_<br>12_1 | AND ENDING | ___ 1<br>_ | __<br>3_<br>2_<br>1<br>21_<br>11_<br>_ | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------| | | MM/DD/VY | | | , MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | ---<br>NAME OF FIRM:<br>- | ---------------------------<br>Wiley Bros. - | Aintree Capital, LLC | | | | lYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | □ Security-based swap dealer | □ Major security-based swap participant | | | | | | | | | | | 40 Burton Hills Blvd., Suite 350<br>(No. and Street) | | | | | | Nashville | TN | | 37215 | | (City) | (State) | | | (Zip Code) | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Lisa P. James | 615-252-6196 | | | ljames@wileybros.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | The Baker Group, CPAs., P.C. | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1504 17th Avenue S. | | Nashville | TN | 37212 | | (Address) | (City) | | (State) | (Zip Code) | | March 24, 2009 | | | | 3434 | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | | | | |…Read the full text as markdown