Full text of WESTMORELAND CAPITAL CORPORATION's X-17A-5 filed 2021-03-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | 0MB APPROVAL | | | | | |---------------------------|--|------------------|--|--| | 0MB Number: | | 3235-0123 | | | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | | | hours oer response 12.00 | | | | | | SEC FILE NUMBER | |-----------------| | 8-24116 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING January 1, 2020 | MM/DDNY | | AND ENDING December 31, 2020<br>MM/DD/YY | | | | |----------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|------------------------------------------|--|--|--| | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: Westmoreland Capital Corporation | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | | 1521 N. Cooper St., Ste 400 | | | | | | | | | (No. and Street) | | | | | | | Arlington | Texas | | 76011 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Matthew lak | | | 682-305-2868 | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | Hartgraves Accounting & Consulting, LLC | | | | | | | | | (Name - if individual, slate last, first, middle name) | | | | | | | 325 N. St. Paul St. | Dallas | Texas | 75201 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE: | | | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | | | Public Accountant | | | | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5 (e)(2)* > **Potential persons who are to respond to the collection of information contained In th…Read the full text as markdown