Full text of NW CAPITAL MARKETS INC.'s X-17A-5 filed 2024-03-27 (period 2023-12-31). 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, 2023** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORTS FORM X PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 | EPUKIS | | |--------|--| | -17A-5 | | | T III | | sec file number 8-35363 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------------------------------|--------------------------------------------| | | | AND ENDING 12/31/2023 | | | filing for the period beginning 1/1/2023<br>MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: NW Capital Markets Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>L Security-based swap dealer<br>Broker-dealer<br>O 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.) | | | | | 522 Broad Street | | | | | | (No. and Street) | | | | Bloomfield | NJ | | 07003 | | (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. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Adeptus Partners LLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 390 N Broadway,Suite120 | Jericho | NY | 11753 | | (Address)<br>01/06/2010 | (City) | (State)<br>3686 | (Zip Code) | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | circumstances relied on as the hacis of the exemption. See 17 | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if a…Read the full text as markdown