Full text of NW CAPITAL MARKETS INC.'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}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION For the year ended December 31, 2022 {1}------------------------------------------------ #### **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORMX-17A-5 PART** III | OMBAPPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMER 8- 35363 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING 01/01/22 | | AND ENDING 12f31 f22 | | | | | MM/DDNY | | MM/DDNY | | | | A. REGISTRANT IDENTIFICATION | | | | | __<br>NAME oF FIRM: | N_W_C_a_p_i_ta_l _M_a_r_ke_t_s_l_nc_. | __________ | _ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 2 Hudson Place | | | | | | | (No. and Street) | | | | | Hoboken | NJ | | 07030 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Dennis J Enright | (201) 656-0115 | DEnright@nwfinancial.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing*<br>Adeptus Partners LLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 733 Route 35 N, Suite A Ocean | | NJ | 07712 | | | (Address) | (City) | (State) | (Zip Code) | | | 01/06/2010 | | 3686 | | | | (Date of Registration with PCAOB)(ifapplicable) | | | (PCAOB Registration Number. if applicable) | | #### **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports ofan independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240. l 7a-S(e)( I )(ii), if ap…Read the full text as markdown