Full text of NEWOAK CAPITAL MARKETS LLC's X-17A-5 filed 2024-08-19 (period 2024-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **NEWOAK CAPITAL MARKETS LLC** **Financial Statement** **With** **Report of Independent Registered Public Accounting Firm** **For the Year Ended June 30, 2024** This report is deemed PUBLIC in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | _______OMB APPROVAL | | |--------------------------------|--| | 323S-O123<br>0MB Number: | | | Expires:<br>Nov. 30, 2026 | | | Estimated<br>burden<br>average | | | hours per response: 12 | | | | | ### **ANNUAL REPORTS FORM X-17A-5 PART III** | SECFILE<br>NUMBER | | |-------------------|--| | 8-52532 | | **FACING PAGE** Information Required Pursuant to Rules17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 07/01/2023 | | ANDEND NG06/30/2024 | |--------------------------------------------|----------|---------------------| | | MM/DD/YY | MM/DD/YY | **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_A. REGISTRANT IDENTIFICATION \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_** ## NAME0F~ NEWOAK CAPITAL MARKETS LLC \_\_\_\_\_\_\_\_\_\_ TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | COLUMBUS<br>3 | CIRCLE<br>FLOOR<br>15TH<br>, | ________________ | |-------------------------------------------------------------------|---------------------------------------------------|----------------------------------------------------| | | {No.<br>and<br>Street) | | | YORK<br>NEW | NY<br>_______________ | 10019<br>__________ | | (City) | (State) | (Zip<br>Code) | | PERSON<br>TO CONTACT<br>WITH REGARD TO THIS | FILING | | | Edward<br>Cohen | 203-557-6070 | ecohen@cohenandassociates.com | | (Name) | (Area Code-Telephone<br>Number) | (Email Address) | | | B. ACCOUNTANT<br>IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT<br>PLLC<br>Tuttle<br>&<br>Bond<br>, | whose reports<br>are contained | in this filing*<br>_______________________________ | | (Name | - if individual,<br>state last, first, and middle | name) | | Goehmann<br>2954 | Lane<br>Fredericksburg | TX<br>78624 | | (Address) | (City) | (State) | (Zip<br>Code) | |------------|----…Read the full text as markdown