Full text of WALL STREET ACCESS'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}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-25936 **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 **0 1/01 /22** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME or FIRM: Wall Street Access TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant AND ENDING **12/31 /22** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 100 Wall Street, Suite 804 | | (No. and Street) | | | | | |----------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|----------------------------|--|--| | New York | NY | | 10005 | | | | {City) | {State) | | {Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | John Mitchell | (212)709-9420 | | john.mitchell@wsaccess.com | | | | {Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>WithumSmith+Brown, PC | (Name - if individual, state last, first, and middle name) | | | | | | 1411 Broadway, 9th Floor | New York | NY | 10018 | | | | (Address) | {City) | (State) | (Zip Code) | | | | 10/8/2003 | | 100 | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | I, Arthur Goetchius | | ~ | | swear (or affirm) that, to the best of my knowledge and belief, the | | | |-------|---------------------|---|--------------------------…Read the full text as markdown