Full text of HAMILTON CAVANAUGH INVESTMENT BROKERS, INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549. | | OMB APPROVAL | | |--------------------------|--------------------------|-----------------| | OMB Number: | | 3235-0123 | | | Expires: August 31, 2020 | | | Estimated average burgen | | | | hours per response 12.00 | | | | | | SEC FILE NUMBER | | | 8 - 046982 | | # 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 BECINNING | 1/1/2019 | AND ENDING | 12/31/2018 | | | |------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------|-----------------------------|--|--| | | MM/DD/YY | | MMDDY Y | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | | | | | | | Hamilton Cavanaugh & Associates, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | | FIRM ID, NO. | | | | 681 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. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | Morey, Nee, Buck & Oswald, LLC | | | | | | | | (Name -- If Individual, state last, first, middle name ) | | | | | | 2571 Bagylos Circle, Suite B20 | Bethlehem | PA | 18020 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | Certified Public Accountant | | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | \*Clains 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(c)(2). SEC 1410 (11-05) contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}--------------------…Read the full text as markdown