Full text of COASTAL EQUITIES, 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}------------------------------------------------ # **COASTAL EQUITIES, INC.** **ANNUAL AUDITED REPORT FORM X-17A-5 PART III DECEMBER 31, 2022** {1}------------------------------------------------ # TABLE OF CONTENTS #### Page No. | ANNUAL AUDITED REPORT FORM X-17A-5 PART III (Facing Page) | 1 | |-----------------------------------------------------------|---| | OATH OR AFFIRMATION | 2 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 3 | | FINANCIAL STATEMENT | | | Consolidated Statement of Financial Condition | 4 | | Notes to Consolidated Statement of Financial Condition | 5 | {2}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART III** #### **CONFIDENTIAL** #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** ### REPORT FOR THE PERIOD BEGINNING **01/01/22** AND ENDING **12/31/22** MM/DD/YY MM/DD/YY #### **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | 1201 N. Orange St. Ste. 729 | | | |------------|-----------------------------|------------|--| | | (No. and Street) | | | | Wilmington | DE | 19801 | | | (City) | (State) | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | Michael O'Connor | (302) 260-6656 | moconnor@coastal-one.com | |------------------|--------------------------------|--------------------------| | (Name) | (Area Code - Telephone Number) | (Email Address) | #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* | Walter Shuffain, PC<br>(Name - if individual, state last, first, and middle name) | | | | |-----------------------------------------------------------------------------------|--------|--------------------------------------------|------------| | | | | | | (Address) | (City) | (State) | (Zip Code) | | 4/8/2011 | | | 5439 | | (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 be covered by the reports of an ind…Read the full text as markdown