Full text of HAMILTON CAVANAUGH INVESTMENT BROKERS, INC.'s X-17A-5/A filed 2023-04-11 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number; 3235-0123 **Expires:** Oct. 31, 2023 Estimated **average** burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8-046982 | **FACING PAGE Information Required Pursuant to Rules 17a~5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2022** MM/DD/VY AND ENDING **12/31/2022** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Hamilton Cavanaugh and Associates, Inc. TYPE OF REGISTRANT {check all applicable boxes): 0 Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here If respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL Pl.ACE OF BUSINESS: (Do not use a P.O. box no.) 2975 Westchester Avenue, Ste 114 (No. and Street) Purchase · NY (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10577 {Zip Code) Lindsay Hamilton (941) 761-6110 lindsayh@hamcav.com (Name) (Area Code - Telephone Number) (Email.Address) **8. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Goldman & Company, CPAs, PC (Name - if individual, state last, first, and middle name) 3535 Roswell Road, Ste 32 Marietta **GA** 30062 (Address) (City) (State) (Zip Code) 06/25/2009 1952 (Date ofRegistration with PCAOB)(if applicable) (PCAOB ReRistration Number, if aoollcable) **FOR OFFICIAL USE ONL V** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an Independent public accountant must be supported by a statement of facts and circumstances rel led on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l){ii), If applicable. Persons who are to respond to the collection of Information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ ## **OATH OR AFFIRMATION** I, Lindsay Hamilton swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Hamilton, Cavanaugh and Associates, Inc. as of Oec.e.ro *be<* "::> 1..,... , 2~ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any accoun…Read the full text as markdown