Full text of NEWOAK CAPITAL MARKETS LLC's X-17A-5 filed 2025-09-02 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** **Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS** SEC FILE NUMBER **FORM X-17A-5** 8-52532 **PART III** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** 07/01/2024 08/30/2025 FILING FOR THE PERIOD BEGINNING /u AND END|NG UU/JU/AU4J MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # INNAMF AIVIL Ur or FIRM- rlnlVI. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ NEWOAK CAPITAL MARKETS LLC TYPE OF REGISTRANT (check all applicable boxes): E 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.) # 3 COLUMBUS CIRCLE, 15TH FLOOR | | (No. and<br>Street) | | | |--------------------------------------------------------|-------------------------------------------|--------------------------------|----------------| | NEW YORK | NY | 10019 | | | (City) | (State) | (Zip<br>Code) | | | PERSON<br>TO CONTACT<br>WITH REGARD | TO THIS FILING | | | | Edward Barry Cohen | 203-557-6070 | ecohen@cohenandassociates.com | | | (Name) | - Telephone<br>(Area Code<br>Number) | (Email Address) | | | | B. ACCOUNTANT<br>IDENTIFICATION | | | | NTT & Company,<br>PLLC<br>(Name | - if individual,<br>state last,<br>first, | and middle name) | | | 3488 South<br>U.S.<br>Highway | 77 Giddings | TX<br>78624 | | | (Address) | (City) | (State)<br>(Zip<br>Code) | | | 03/19/2019 | | 6543 | | | (Date of Registration<br>with PCAOB)(if<br>applicable) | | Registration Number,<br>(PCAOB | if applicable) | | | FOR<br>OFFICIAL<br>USE<br>ONLY | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis ofthe exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **Personswho are to respondto the collectionof information containedin this form are not required to respondunlessthe form displays a currently valid 0MB control number.** | RTS | | |-----|--| | -5 | | {1}--------------------…Read the full text as markdown