Full text of ICBA SECURITIES's X-17A-5 filed 2022-03-02 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235·0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | hours per response: 12 | | |------------------------|--| | SEC FILE NUMBER | | | 8-40867 | | | | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | __<br>FILING FOR THE PERIOD BEGINNING __ O_l_/<br>O_l_/2_0_2_1 | _<br>_ AN D ENDING | __<br>__<br>_ 1_2_/3_l_/<br>2_0_<br>2_<br>1<br>_ | |-----------------------------------------------------------------------------------------|----------------------------------------------------------------|--------------------------------------|--------------------------------------------------| | | MM/DD/VY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | __<br>;IC;B_A;S;e;.cc ur_it'-ie;;;s_C;;;ocr"-- p'-or;.a;<br>NAME OF FIRM: | __<br>ti-'-o_n _<br>_ | _<br>_<br>_<br>_<br>_<br>_<br>_<br>_ | __<br>_<br>_<br>_<br>_<br>_<br>_<br>_ | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | [J Broker-dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | □ Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 775 Ridge Lake Blvd., Suite 175 | | | | | | (No. and Street) | | | | Mem his | | TN | 38120 | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Carol Ann Kinzer | 678-525-0992 | | cakinzer@icbasecurities.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in t<br>WithumSmith+Brown PC | | his filing* | | | | (Name - if individual, state last, first, and middle name) | | | | 1411 Broadway, 9th Floor | New York | NY | 10018 | | (Address) | (City) | (State) | (Zip Code) | | 10/08/2003 | | 100 | | | of R,gist,atioa with PCAOB)(il applicabl,J | | | (PCAOB R,glstrntm" N,mb", ii applicabl,) I | | T" | FOR OFFICIAL USE ONLY | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied…Read the full text as markdown