Full text of CORRELL CO. INVESTMENT SERVICES CORP.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Correll Co. Investment Services Corp. Financial Statement and Supplemental Schedules Pursuant to SEC Rule 17a-5(d) December 31, 2020 # AVAILABLE FOR PUBLIC INSPECTION {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, James C. Correll,swear (or affirm) that,to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Correll Co. Investment Services Corp. as of December 31,2020,are true and correct.I further swear (or affirm) that neither the company nor any partner, proprietor,principal officer or director has any proprietary interest in any account classified solely as that of <sup>a</sup> customer,except as follows: **NOME** <sup>I</sup> *<sup>i</sup>* DEBRA J. LUCENTE OFFICIAL SEAL Notary Public - State of Illinois <sup>16</sup>, <sup>2024</sup> My Cpijnmission Expires Sgp Signature <sup>j</sup> Title II *k* | ii I ; g ! ! I s- ! :5 ! 1! S I- !i iaI I tIg > ! 1 > > II This report \*\* contains (check all applicable boxes): - [X] (a) Facing Page. - [X] (b) Statement of Financial Condition. - [ ] (c) Statement of Income (Loss) or,if there is other comprehensive income in the period(s) presented, <sup>a</sup> Statement of Comprehensive Income (as defined in §210.1-02 of Regulation S-X). - [ ) (d) Statement of Changes in Financial Condition. - [ ] (e) Statement of Changes in Stockholders'Equity or Partners' or Sole Proprietors' Capital. - [ ] (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. - [X] (g) Computation of Net Capital. - [X] (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. - [X] (i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3. - [ ] (j) <sup>A</sup> 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 <sup>A</sup> of Rule 15c3~3. - [ ] (k) <sup>A</sup> Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of consolidation. - [X] (I) An Oath or Affirmation. - [ ] (m) <sup>A</sup> copy of the SIPC Supplemental Report. - [ ] (n) <sup>A</sup> report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. - [ ] (o) Exemption report. **\*\*For conditions of confidential t…Read the full text as markdown