Full text of ALLEN C. EWING & CO.'s X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ALLEN C. EWING & CO. # REPORT ON AUDIT OF FINANCIAL STATEMENTS DECEMBER 31, 2022 {1}------------------------------------------------ ## **ALLEN C. EWING & CO.** ## FINANCIAL STATEMENTS, FORM X-17A-5, PART III, SUPPLEMENTAL INFORMATION, AND REPORTS OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ## DECEMBER 31, 2022 #### CONTENTS | PAGE | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----| | FORM X-17A-5, PART III<br><br>1 - | 2 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM<br><br>3<br>- | 4 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 5 | | Statement of Operations | 6 | | Statement of Changes in Stockholder's Equity | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements 9<br>-<br>13 | | | Computation of Net Capital Under SEC rule 15c3-1<br><br>14 | | | Reconciliation Between Audited and Unaudited Net Capital Computation | | | Report of Independent Registered Public<br>Accounting Firm on Applying Agreed Upon<br>Procedures<br>Related to an Entity's SIPC Assessment Reconciliation<br>………………………….15<br>- | 16 | | Report of Independent Registered<br>Public Accounting Firm<br>…………………………………….17 - | 18 | | Broker-Dealer's<br>exemption Report<br><br>19 | | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL OMS Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | SEC FIL£ NUMBER | | |-----------------|--| | 8-42393 | | | | | **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 **01/01/2022** AND ENDING **12/31/2022** MM/00/YY MM/00/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Allen C. Ewing & Co. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 112 South Tryon Street, Suite 1220 | | ( No. and Street) | | | |---------------------------------------------------------------------------|-----------------------------------------------------------|--------…Read the full text as markdown