Full text of CAPITAL BROKERAGE CORPORATION's X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CAPITAL BROKERAGE CORPORATION Financial Statement Required by SEC Rule 17a-5 December 31, 2022 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | 8-26614 | | | | | |---------|-----------------|--|--|--| | | SEC FILE NUMBER | | | | | | | | | | | | | FACING PAGE | | | |--|--|-------------|--|--| | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING\_12/31/2022 filing for the period beginning 01/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # name of firm: Capital Brokerage Corporation TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 6620 West Broad Street | | | (No. and Street) | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|------------------------------------------------------------|-----------------|--------------------------------------------|--| | Richmond | | VA | | 23230 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Bonnie C. Turner | | (804) 615-4781 | | Bonnie.turner@genworth.com | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | 1021 East Cary Street, Suite 2000 Richmond | | (Name - if individual, state last, first, and middle name) | VA | 23219 | | | (Address) | (City) | | (State) | (Zip Code) | | | October 20, 2003 | | | 185 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement that the annual reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17<br>CFR 240.17a-5(e)(1)(ii), if applicable. | | |…Read the full text as markdown