Full text of COORDINATED CAPITAL SECURITIES, INC.'s X-17A-5 filed 2024-05-17 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A Wholly-Owned Subsidiary of Coordinated Capital Holdings, Inc.) Madison, Wisconsin EXEMPTION REPORT Including Report of Independent Registered Public Accounting Firm As of and for the Year Ended March 31, 2024 {1}------------------------------------------------ (A Wholly-Owned Subsidiary of Coordinated Capital Holdings, Inc.) #### TABLE OF CONTENTS #### **Report of Independent Registered Public Accounting Firm** Exemption Report 2 {2}------------------------------------------------ # **ASSURANCE D I MEN S I ONS** #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRlvf- EXEMPTION REPORT REVIEW To the Board of Directors and Shareholder/ s C:oordi nated C:apital Securiti es, I nc. \\7e have reviewed management's statements, included in the accompanying Rule 15c3-3 Exemption Report pursuant to SEC Rule 17 a-5, in which (1) Co ordin ated Cap ital Sec urit ie s, I nc. identified the following provision(s) of 17 C.F.R. §15c3- 3(k) under which Coordinated Capital Securitie s, Inc . claimed the following exemption from 17 C.F.R. §240.15c3-3: (k)(2)(ii) (exemption provision) and (2) C:oordinated C:apital Securitie s, Inc . stated that C:oordinate d C:apital Securities, Inc. met the identified exemption provision throughout the most recent fiscal year without exception. The Company is also filing this Exemption Report because the Company's other business activities contemplated by Footnote 74 of the **SEC** Release **No.** 34-70073 adopting amendments to 17 **C.F.R.** § 240.17 a-5 5 because the Company limits its business activities Trail income and 12b-1 fees-Direct, Commission Revenue-Mutual Funds, Commission Revenue-Annuity Income and Other income-Direct which includes: (1) effecting securities transactions via subscriptions on a subscription way basis where the funds are payable to the issuer or its agent and not to the Company; **(2)** receiving transaction-based compensation for identifying potential merger and acquisition opportunities for clients, referring securities transactions to other broker-dealers, or providing technology or platform services. In addition, the Company did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4 and/ or funds received and promptly transmitted for effecting transactions via subscriptions o…Read the full text as markdown