Full text of WILSON-DAVIS & CO., INC.'s X-17A-5 filed 2023-08-29 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | | | |---------------------------|--|--| | OMB Number: 3235-0123 | | | | Expires: Oct. 31, 2023 | | | | Estimated average burden | | | | 12<br>hours per response: | | | | | | | | 12<br>ours per response: | | |--------------------------|--| | SEC FILE NUMBER | | | 8-14299 | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|--|--|--|--|--| | filing for the period beginning 07/01/22 | AND ENDING 06/30/23 | | | | | | | MM/DD/YY | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: Wilson-Davis & Company, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[] Major security-based swap participant<br>Broker-dealer<br>_ Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 236 South Main Street | | | | | | | | (No. and Street) | | | | | | | | Utah<br>Salt Lake City | 84101 | | | | | | | (State)<br>(City) | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | 801532-1313<br>Lyle Davis | Idavis@wdco.com | | | | | | | (Name)<br>(Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Haynie & Company | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 1785 West 2320 South<br>Salt Lake City | Utah<br>84119 | | | | | | | (City)<br>(Address) | (State)<br>(Zip Code) | | | | | | | 10/20/03 | 457 | | | | | | | (PCAOB Registration Number, if applicable)<br>(Date of Registration with PCAOB)(if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | | {1}------------------------------------------------ # **WILSON-DAVIS & COMPANY, INC.** ## **FORM X-17A-5** # **WITH** ## **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** **YEAR ENDED JUNE 30, 2023** {2}------------------------------------------------ # **WILSON-DAVIS & COMPANY, INC.** # **TABLE OF CONTENTS** | | Page | |------------------------------------------------------------…Read the full text as markdown