Full text of HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, 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}------------------------------------------------ Hamershlag Sulzberger Borg Capital Markets, Inc. Financial Statements and Supplemental Schedules Required by the U.S. Securities and Exchange Commission Including Independent Registered Public Accountant's Report Thereon For the Year-Ended December 31, 2021 {1}------------------------------------------------ # Hamershlag Sulzberger Borg Capital Markets, Inc. ## FINANCIAL STATEMENTS, FORM X-17A-5, PART Ill, SUPPLEMENTAL INFORMATION, AND REPORTS OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ## DECEMBER 3 I, 202 I ## CONTENTS | PAGE<br>FORMX-17A-5.PARTil1 | 1-2 | |-----------------------------------------------------------------------------------------------------------------|-----| | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FlRM<br>3 - 4 | | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 5 | | Staten1ent of (Loss) | 5 | | Statement of Changes in Member's Equity | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements 9 - | I I | | SUPPLEMENTAL INFORMATION -<br>Schedule I<br>COMPUTATION OF NET CAPITAL UNDER RULE 15c3-I | 12 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 13 | | MANAGEMENT'S REPORT ON EXEMPTION | 14 | | Exemption from the Computation for Determination of<br>Reserve Requirements Under Rule l 5c3-3 -<br>Schedule 11 | 15 | | Information for Possession or Control Requirements<br>Schedule lil<br>Under Rule 15c3-3 -<br>Exemption Report - | 15 | {2}------------------------------------------------ **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:<br>12 | SEC FILE NUMBER 8-52179 | FACING PAGE | |-----------------------------------------------------------------------------------------------------------| | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING **01/01/2021** MM/DD/VY MM/ DD/VY **A. REGISTRANT IDENTIFICATION** NAM E OF FIRM: HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC. TYPE OF REGISTRANT (check all applicable boxes): <sup>~</sup>Broker-dealer • Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ANDENDING **12/31/2021** ADDRESS OF PRINCIPAL PLACE OF BUSI…Read the full text as markdown