Full text of HAMILTON CAVANAUGH INVESTMENT BROKERS, INC.'s X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Hamilton, Cavanaugh & Associates, Inc. ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill #### SEC FILE NO. 8-46982 FOR THE YEAR ENDED DECEMBER 31,2018 (with Report of Registered Independent Public Accounting Finn) {1}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |--------------------------|---------------------------| | OMB Number: | 3235-0123 | | Expires: August 31, 2020 | | | Estimated average burden | | | | hours per response 12.00 | | | SEC FILE NUMBER | | 8- | 046982 | # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** # 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 | | | _________ 1~/~1/~2~01~8~ _______ ANDENDING _______ 1~2/~3_1/~2~01~8~----- | |--------------------------------------------------------------------------|-------------------------------------------------------|---------|---------------------------------------------------------------------------| | | MMIDDIYY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | Hamilton Cavanaugh & Associates, Inc. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 10. NO. | | 661 N. Broadway | | | | | | (No. and Street) | | | | White Plains | NY | | 10603-2408 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Lindsay Hamilton | | | (941) 761-6110 | | | | | (Area Code-- Telephone No.) | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Morey, Nee, Buck & Oswald, LLC | | | | | | (Name-- ((individual, state last, first, middle name) | | | | 2571 Bagylos Circle, Suite B20 | Bethlehem | PA | 18020 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>I!) Certified Public Accountant<br>0 Public Accountant | | | | | 0 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 240.17a-5(…Read the full text as markdown