Full text of COMMONWEALTH EQUITY SERVICES, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  COMMONWEALTH FINANCIAL NETWORKSM A REGISTERED SERVICE MARK OF COMMONWEALTH EQUITY SERVICES, LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2021 (Public) {1}------------------------------------------------ Public {2}------------------------------------------------ # Public | Paul J. Ims | | _ swear (or affirm) that, to the best of my knowledge and belief, the | | | | | |------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | financial report pertaining to the firm of Commonwealth Financial Network<br>as of | | | | | | | | December 31 | | , 2 021 | | | | | | | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | | | | | as thatas a customeon A. D'Agostino | NOTARY PUBLIC | | | | | | | | Commonwealth of | | | | | | | | Massachusetts | Signature: | | | | | | | My Commission Expires<br>8/19/2027 | Title: | | | | | | | | Controller | | | | | | | | | | | | | | Notary Public | | | | | | | | | | | | | | | | | This filing** contains (check all applicable boxes): | | | | | | | (a) Statement of financial condition. | | | | | | | | | (b) Notes to consolidated statement of financial condition. | | | | | | | | | (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of | | | | | | | comprehensive income (as defined in § 210.1-02 of Regulation S-X). | | | | | | | (d) Statement of cash flows. | | | | | | | | | | (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. | | | | | | | | (f) Statement of changes in liabilities subordinated to claims of creditors. | | | | | | | (g) Notes to consolidated financial statements. | | | | | | | | | (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. | | | | | | | (i) Computation of tangible net worth under 17 CFR 240.18a-2. | | | | | | | | | (i) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. | | | | | | | | (k) Computation for…Read the full text as markdown