Full text of THE WILLIAMS CAPITAL GROUP, L.P.'s X-17A-5 filed 2019-02-27 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ CONSOLIDATED STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31 , 2018 {1}------------------------------------------------ UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 8-46623 I SEC FILE NUMBER I ### **ANNUAL AUDITED REPORT FORM X-17A-5 PART** III #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | ----"-0=-1/0""""1"--" /l-=-8<br>MM/DDNY | ___<br>AND ENDING | 12/31/18<br>MMIDDNY | | |----------------------------------------------------------------------------------------------------|-------------------------------------------------------|-------------------|--------------------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER -<br>DEALER: | | | | | | The Williams Capital Group, L.P. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FJRMTD_ NO_ | | | 650 Fifth Avenue 9th Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10019 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Patrick Wo | | | (212) 830-4521<br>Telephone No.)<br>(Area Code - | | | fNDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>Withum Smith+Brown PC | B. ACCOUNTANT IDENTIFICATION | | | | | | (Name· if individual, state last, first, middle name) | | | | | 1411 Broadway, 9th Floor | New York | NY | 10018 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | ~ Cenified Public Accountant | | | | | | D<br>Public Accountant | | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.* J *7a-5(e)(2).* SEC 1410 (3-91) {2}------------------------------------------------ #### AFFIRMATION I, Christopher J. Williams, affirm that, to the best of my knowl…Read the full text as markdown