Full text of HAMILTON CAVANAUGH INVESTMENT BROKERS, INC.'s X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **OATH OR AFFIRMATION** | I, | Lindsay Hamilton<br>, swear (or affirm) that, to the | | |----------|-------------------------------------------------------------------------------------------------------------------------------------|---------| | | best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the finn of | | | | Hamilton Cavanaugh & Associates, Inc. | , as of | | | ,20 ~,are true and correct. I further swear (or affirm) that neither the company<br>December 31 | | | | nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of | | | | a customer, except as follows: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | This report.,. contains (check all applicable boxes): | | | | [R] (a) Facing page. | | | | (b) Stateme,nt of Financial Condition. | | | lR1<br>D | (c) Statement oflncome (Loss) | | | D | (d) Statement of Changes in Financial Condition | | | D ( | e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital | | | | D (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. | | | | | | | | D (g) Computation of Net Capital | | | D | (h) Computation for Determination of Reserve Requirements Pursuant to Rule l 5c3-3. | | | D | (i) lnfonnation Relating to the Possession or control Requirements Under Rule 15c3-3. | | | 0 | G) A Reconciliation, including appropriate explanation, of the Computation of Net Capital Under Rule 15c3-l and the | | | | Computation for Determination of the Reserve Requirements Under Exhibit A of Rule l 5c3-3. | | | | D (k) A Reconciliation between the audited and unaudited Statements of<br>Financial Condition with respect to methods of con- | | | | solidation. | | | [Kl | (!) An Oath or Affirmation. | | | D | (m) A copy of the SIPC Supplemental Report. | | | | (n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. | | | EI | (o) Exemption from SEA Rule 15c3-3 | | | | | | {1}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |---------------------------|-----------------| | OMB Number: | 3235-0123 | | Expires: October 31, 2023 | | | Estimated average burden. | |…Read the full text as markdown