Full text of JAMES RIVER SECURITIES CORP.'s X-17A-5 filed 2022-02-16 (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 Washington,** D.C. **20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER | | FACING PAGE | | | |----------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING | ti I/<br>J1<br>0<br>I M<br>M/DD/YY | AND ENDING | /) /3 t /JI<br>MM/0D/YY | | | A. REGISTRANT IDENTIFICATION | | | | __<br>NAME OF FIRM: | .]~o-""~e-~_R iv_e. r __ ,_S ___ e_c'-11 ___ r1_,_I-___ ,· e. ___ \__UJ ____ f,p | | ________<br>_ | | TY.PE OF REGISTRANT (check all applicable boxes):<br>l!'f Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | S &<br>St V<br>t>rao.J- | | | | | | (No. and Street) | | | | | VA | | | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | G<br>f\l-<br>Lo. u r"'-<br>r1-. +~ | '60~ f7t<br>'-f5o8 | l~uro. | e ;rcc.n.eA- | | (Name) | (Area Code -Telephone Number) | (Email Address) | J | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | [e:fe.c | | | | | | (Name - if lndividual, state last, first, and middle name) | | | | L/40 I | lslr1d J11lr49- | VA | ~3o to | | (Address) | cc1tv1 | (State) | (Zip Code) | | I<br>/ 0 I').~<br>j-0 O ) | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Reglstration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | • 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 offacts 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 In this form are not required to respond unles…Read the full text as markdown