Full text of J.W. COLE FINANCIAL, INC.'s X-17A-5 filed 2022-03-30 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>SECURITIES AND EXCHANGE COMMISSION<br>Expires: Oct. 31, 2023<br>Estimated average burden | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------|--|--| | | hours per response:<br>12 | | | | | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | | | | | | PART Ill | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | FILING FOR THE PERIOD BEGINNING Q 1/01/2021 | | AND ENDING 12/31/2021 | | | | | MM/DD/VY | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: J.W.COLE FINANCIAL, INC. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>O Security-based swap dealer<br>[!] Broker-dealer<br>□ Major security-based swap participant<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>4301 ANCHOR PLAZA PARKWAY, SUITE #450 | | | | | | (No. and Street) | | | | | TAMPA | FL | 33634 | | | | {City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | GARY HAIGHT | 813-337-0516 | GARY.HAIGHT@JW-COLE.COM | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>DEJOY, KNAUF & BLOOD LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 280 EAST BROADWAY STREET #300 | ROCHESTER | NY<br>14604 | | | | (Address)<br>02/18/2004 | (City) | {State)<br>(Zip Code)<br>1069 | | | | rte of Reg;,tc,Uoo with PCAOB )(If appll~bl•J | | (PO.OB R,g;stcaUoo N,mbe,, ;f applkable)I | | | | FOR OFFICIAL USE 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 of the exemption. See 17 CFR 240.l?a-S(e)(l)(ii), if applicable. **Persons who are to respond to the c…Read the full text as markdown