Full text of HAROLD H. OSHIMA's X-17A-5 filed 2023-03-23 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | UNITED STATES | | 0MB APPROVAL | | | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------|-------------------------|-------------------------------------------------|--|--|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | | | PUBLIC | | Washington, D.C. 20549 | | Estimated average burden | | | | | | | | | | 12<br>hours per response: | | | | | | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | | | | FORM X-17A-S | | | | 8-27123 | | | | | | | | PART Ill | | | | | | | | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | | | | AND ENDING 12/31 f2022<br>FILING FOR THE PERIOD BEGINNING O 1/01/2022 | | | | | | | | | | | MM/DD/VY | | | MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | | | | | NAME oF FIRM: Oshima & Associates | | | | | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>ii!i!i Broker-dealer | □ Security-based swap dealer | | | □ Major security-based swap participant | | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 21 Merchants Row, 5th floor | | | | | | | | | | | (No. and Street) | | | | | | | | | Boston | | MA | | 02109 | | | | | | (City) | | (State) | | (Zip Code) | | | | | | | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Harold H. Oshima | 617.523.1527 | | oshima@post.harvard.edu | | | | | | | (Name) | (Area Code -Telephone Number) | | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 100 E SYBELIAAVE, SUITE 130 MAITLAND | | | FL | 32751 | | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | | | JULY 28, 2004 | | | 1839 | | | | | | | rte<br>of Registcatioo with PCAOB)lif ap~irable) | | | | )PCAOB Registcatioo Nombec, if applirable) | | | | | | | | FOR OFFICIAL USE O…Read the full text as markdown