Full text of WILEY BROS.-AINTREE CAPITAL, LLC'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}------------------------------------------------ # FINANCIAL STATEMENTS AND SUPPLENMENTARY INFORMATION WILEY BROS. - AINTREE CAPITAL, LLC DECEMBER 31, 2022 {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | |-------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|-----------------------------------------------------------------------------------------------------------------------|--| | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | FORM X-17A-S | | 8-3774 | | | | PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD B~~INNING 01 /01 /22' | | AND ENDING 12131122 | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME or FIRM: Wiley Bros. - Aintree Capital, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer<br>□ | | Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 40 Burton Hills Blvd., Suite 350 | | | | | | | (No. and Street) | | | | | Nashville | TN | | 37215 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Angela T. Samol | 615-252-6202 | | asamol@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)<br>March 24, 2009 | (City) | (State)<br>3434 | (Zip Code) | | | l<br>" of<br>Registration with PCAOBII• applicable) | | | (PCAOB Registration Number, ;f applicable) I | | | | FOR OFFICIAL USE ONLY<br>* Claims for exemption from the requirement that the annual reports be covered…Read the full text as markdown