Full text of WESTCO INVESTMENT CORP.'s X-17A-5 filed 2021-11-29 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Westco Investment Corp. FINANCIAL STATEMENTS September 30, 2021 {1}------------------------------------------------ | Facing Page to Form X-17 A-5 1 | |---------------------------------------------------------------------------------------------------------------------------------------| | Affirmation of President 2 | | Independent Auditors' Report 3 | | Balance Sheet 4 | | Statement of Income 5 | | Statement of Changes in Shareholder's Equity 6 | | Statement of Cash Flows 7 | | Notes to Financial Statements 8-12 | | Supporting Schedules<br>Computation of Net Capital Pursuant to Uniform<br>Net Capital Rule 15c3-1 13 | | Reconciliation of Computation of Net Capital<br>Rule 15c3-1 Pursuant to Rule 17a-5(d)(4) 13 | | 15c3-3 Exemption Report 14 | | Report on Internal Control Structure Required by SEC Rule 17a-5<br>for a Broker-Dealer Claiming an Exemption from SEC Rule 15c3-3 15 | {2}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | hours per response: 12 | | |------------------------|--| | SEC FILE NUMBER | | | 8-38452 | | #### **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 | ___<br>___<br>1_0_/0_1_/2_0 | AND ENDING | __<br>___<br>_<br>0_9/_3_0_/2_1 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|-----------------------------------------------|--|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | __<br>NAME OF FIRM:<br>W_e_s_tc_o_l_n_ve_s_t_m_e_n_t _C_o_rp_. | | | _________________<br>_ | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>O Security-based swap dealer<br>0 Broker-dealer<br>□ Major security-based swap participant<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.} | | | | | | | | 77 Hempstead Avenue | | | | | | | (No. and Street) | | | | | | Lynbrook | NY | | 11563 | | | | (City) | (State) | | (Zip Code) | | | |…Read the full text as markdown