Full text of ICBA SECURITIES's X-17A-5 filed 2023-03-13 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | |--------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|-----------------------------------------------------------------------------------------------------------------------|--| | ANNUAL REPORTS | | | | | | | FORM X-17A-5 | | SEC FILE NUMBER<br>8-40867 | | | | PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING __ | ____<br>0_1/_0_1/_2_02_2 | AND ENDING _ | ___<br>_/3<br>_1<br>_12<br>_0<br>2_<br>2<br>1<br>_2<br>_<br>_ | | | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | __<br>NAME OF FIRM: | IC_B_A_Se_c_u_ri_ti_es_Co_rcp_o_ra_t_io_n | | _____________________<br>_ | | | ~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer<br>775 Ridge Lake Blvd., Suite 175 | □ Security-based swap dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | □ Major security-based swap participant | | | | (No. and Street) | | | | | Memphis | TN | | 38120 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Carol Ann Kinzer | 678-525-0992 | | ckinzer@icbasecurities.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | WithumSmith+Brown, PC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 10018 | | | 1411 Broadway, 9th Floor<br>(Address) | New Yock<br>(City) | NY<br>(State) | (Zip Code) | | | 10/08/2003 | | | | | | rte of<br>Reg;stcaUoo w;th PCAOB)(;f appUcableJ | | 100 | | | | | FOR OFFICIAL USE ONLY | | | | | CFR 240.17a-5(e)(l)(ii), if applicable. | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>ac…Read the full text as markdown