Full text of EARLYBIRDCAPITAL, INC.'s X-17A-5 filed 2024-03-28 (period 2024-01-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ EarlyBirdCapital, Inc. (A Wholly Owned Subsidiary ofEBC Holdings, Inc.) Statement of Financial Condition January 31 , 2024 Filed pursuant to Rule l 7a-5(e)(3) as a Public Document. {1}------------------------------------------------ | An Oath or Affirmation 1-2 | | |-----------------------------------------------------------|--| | Report oflndependent Registered Public Accounting Firm 3 | | | Statement of Financial Condition 4 | | | Notes to Financial Statements 5-13 | | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. **20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill FACING **PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **02/01/2023** MM/DD/YY AND ENDING **O 1/31/2024** MM/0D/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: EarlyBirdCapital, Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1 Huntington Quadrangle Ste 1C15 (No. and Street) Melville **NY** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 11747 (Zip Code) Michelle Pendergast 631-770-0667 mpendergast@ebcap.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Marcum LLP (Name - if individual, state last, first, and middle name) 730 Third Ave 11th Floor New York NY (Address) (Oty) (State} 10/16/2003 688 10017 (Zip Code) rte of R,gjstratioo w;th PCAOB)llf applicable) **FOR OFFIOAL USE ONLY** (PCAOB , .. ;~ratio, Numbe,, • applkable) I \* 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 offacts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e}(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {3}---------------------------------…Read the full text as markdown