Full text of HAMILTON CAVANAUGH INVESTMENT BROKERS, INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION W<!shington, O.C. 20549 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | Expires: Oct. 31, 2023 | | | | |--------------------------|--|--|--| | Estimated average burden | | | | | hours per response: 12 | | | | | | | | | | SEC FILE NUMBER | | | | | | | | | OMB APPROVAL OMB Number. 3235-0123 #### FACING PAGE Information Required Pursuant to Rules 17a·S, 17a-U, and 18a-7 u1:1der the Securities Exchange Act of 1934 | F·1uNG FOR THE PERIOD BEGtNNING | __ o<br>/"*"fi.:;;6_t f-lb"""o"""'~;;:l'---_AND ENDING<br>MM/DD/YY | ___ | 1_<br>12"'"'1/~3~1,./_2"""cµ<br>rliM/Dd/YY | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------|-----------------------------------------|---------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Security~based swap dealer<br>~ Broker-dealer<br>D Check here If respondent is also an OTC derivatives dealer | | 0 Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | (No. and.Street) | | | | (Crty} | A/V<br>(State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | (Area Code- Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Mo~y , Nee. fucK<br>1<br>r | ) OsWAL.t> . ttC<br>(Name - if dividu , state last, first, and middle name} | | | | | | PA<br>(State) | (Zip Code) | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Re1dstr.itlon Number, If applicable) | | | | | | | Claims for exempti.on from the requirement that the annual reports be covered by the reports of an lndependent_publlc | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e}(l)(ii), if applicable. Persons who are *to* respond to the collection of information contained Jn this form are not required to respond unless the form displays a currently valid OMS control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** Slgnat~ ... **r** < G.V'«ACA..1 (ct-J…Read the full text as markdown