Full text of ASTORIA CAPITAL MARKETS, INC.'s X-17A-5 filed 2023-03-13 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION # FOR THE YEAR ENDED DECEMBER 31, 2022 CONFIDENTIAL {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | |----------------| | FORM X-17 A-5 | | PART Ill | 0MB APPROVAL OM8 Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities EKchange Act of 1934** | Fl LI NG FOR THE PERIOD BEGINNING _ | | __<br>__,{l'-1 /-'o'-1_,/"--2_2- | AND EN DI NG | __<br>___<br>/_2,~)_'3_1~/_2._2<br>_ | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------|----------------------------------------------------------------|--------------|---------------------------------------------------------------------------------------------------| | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | __<br>NAME OF FIRM: | | | | /l.,s,_"Tb_1< 1,_19,__,.C,.,_l1!:P:/:="IJ:::.L_11-'--'-'IJ:;R:,_K-'-'-n_s_~112=---==L.=--------- | | TY~ OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D 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.) | | | | | | | | | | | | | | {No. and Street) | | | | | M/1.J{ol-/J | | | | | | | (State) | | | | | (City) | | | (Zip Code) | | (A ((,(JL 'I IV C | C-{l (2 .,.,Y | '; S7 f<br>(, ?,/ · ;J,) t/-<br>{Area Code - Telephone Number) | e t,,tt? r'I | <:? ()l'rbiV/;tft/t , ve r<br>(Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(Name}<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | (City) | (State) | {Zip Code) | | | | | | | | (Address)<br>of Regfmauoa w"h PCAOB){ff applfcabl,] | | | | | | l" | | FOR OFFICIAL USE ONLY | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.l 7a-S(e){l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required…Read the full text as markdown