Full text of DELANEY, JOSEPH VINCENT's X-17A-5 filed 2021-12-29 (period 2021-10-01). 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-5 PART III** | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | | SEC FILE NUMBER | | | | PART III | | | | | | |-----------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------|--------------------------------------------|--|--| | | 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 _____________________ AND ENDING ______________________<br>MM/DD/YY | | | | | | | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: _______________________________________________________________________ | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>☐<br>☐<br>Broker-dealer | ☐<br>Security-based swap dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | | Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | _____________________________________________________________________________________<br>(No. and Street) | | | | | | | | | | | | | (City) | (State) | _____________________________________________________________________________________<br>(Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | (Name) | (Area Code – Telephone Number) | _____________________________________________________________________________________<br>(Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>_____________________________________________________________________________________ | | | | | | | (Name – if individual, state last, first, and middle name) | | | | | | | _____________________________________________________________________________________ | | | | | | (Address) | (City) | | (State)<br>(Zip Code) | | | | | _________________________________________…Read the full text as markdown