Full text of HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.'s X-17A-5 filed 2024-03-01 (period 2023-12-31). 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 Report Thereon For the Year-Ended December 31, 2023 {1}------------------------------------------------ ## Hamershlag Sulzberger Borg Capital Markets, Inc. #### FINANCIAL STATEMENTS, FORM X-17A-5, PART III, SUPPLEMENTAL INFORMATION, AND REPORTS OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM #### DECEMBER 31, 2023 #### CONTENTS | FORM X-17A-5, PART III 1 - 2 | PAGE | |-------------------------------------------------------------------------------------------------------------|------| | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 3 - 4 | | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 5 | | Statement of Operations | 6 | | Statement of Changes in Member<br>Deficit | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements 9 - 11 | | | SUPPLEMENTAL INFORMATION<br>Schedule I<br>Statement of Net Capital | 12 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 13 | | EXEMPTION | 14 | | Exemption from the Computation for Determination of<br>Reserve Requirements Under Rule 15c3-3 - Schedule II | 15 | | Information for Possession or Control Requirements<br>Under Rule 15c3-3<br>Exemption Report<br>Schedule III | 15 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING\_12/31/23 filing for the period beginning 01/01/23 MM/DD/YY MM/DD/YY OMB APPROVAL 8-52179 A. REGISTRANT IDENTIFICATION NAME OF FIRM: HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC. TYPE OF REGISTRANT (check all applicable boxes): 回 Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 1180 AVENUE OF THE AMERICAS ROCKEFELLER CENTER 8th floor | | | | | | | |----------------------------------------------------------|--|--|--|--|--|--| |----------------------------------------------------------|--|--|--|--|--|--| | | (No. and Street) | | | | | |--------------------------…Read the full text as markdown