Full text of NW CAPITAL MARKETS INC.'s X-17A-5 filed 2021-03-02 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION For the year ended December 31, 2020 {1}------------------------------------------------ PUBLIC | UNITED STA TES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C. 20549 | | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: October 31, 2023 | | Estimated average burden | | hours per response 12.00 | 8-35363 SEC FILE NUMBER | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PARTIII | #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGrNNING | | -~<br>0~1~/0~1=/2~0<br>MMIDDIYY | ___<br>AND ENDING 12/31/20 | MM/DDIYY | | |------------------------------------------------------------------------------------------------------------------|--|---------------------------------------------------------------------------------------------------------|--------------------------------|-------------------|--| | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER -<br>DEALER: | | | | | | | NW Capital Markets Inc. | | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | FTRMID. NO. | | | | | 2 Hudson Place<br>(No. and Street) | | | | | Hoboken | | NJ | | 07030 | | | (City) | | (State) | | (Zip Code) | | | | | | (201) 656-0115<br>(Area Code - | Telephone No.) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | Lisa Petrosky-Muckle | | Daszkowski, Tompkins, Weg & Carbonella CPA PC<br>(Name - if individual, state last, first, middle name) | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>278 Route 34 Suite 1 | | Matawan | NJ | 07747 | | | (Address) | | (City) | (State) | (Zip Code) | | | | | | | | | | ~ Certified Public Accountant | | | | | | | | | | | | | | CHECK ONE:<br>D<br>Public Accountant<br>D<br>Accountant not resident in United States or any of its possessions. | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240 l 7a-5(e)(2).SF.C* 14 IO (1-91) {2}------------------------------------------------ # **TABLE OF CONTENTS** #### **This report \*\* contains…Read the full text as markdown