Full text of J.W. COLE FINANCIAL, INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES ANO EXCHANGE COMMISSIOII:! Washi!'ilgton, D.C. 20549 ANNUAL REPORTS FORM X-17A~S PARTIU fAtlNGPAGE** nM8 APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estlmated average burden hours per response: 12 SEC FILE NUMBER 8-65698 **Information Required Pursuant to Rules 17a-5, 17a-12, and 1.:la-7 under the Securities !:irchange Act of 1934** FILING FOR THE PERIOD BEGINNING Q 1 **/Q** '] **/2Q2,2** MM/DD/VY AND ENDING **12/31/2022** MM/DD/VY A. **REGISTRANT JOENTIFICATION** NAME OF FIRM: J. w. COLE FiNANCiAL, INC TYPE OF REGISTRANT (check all applicable boxes): (!l Broker-dealer O Security-based swap dealer 0 Major security-based swap particip;mt 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,) 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 813-939-5842 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\* DEJOY, KN,l\UF & BLOOD LLP (Name- if individual, state last, first, and middle name) 280 EAST BROADWAY STREET #300 ROCHESTER NY 14604 (Address) {City) (State) (Zip Code) 0?/18/2004 1069 (Date of Re1iistration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** "Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public account ant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. *See* 17 CFR 240.17.i-S(e)(l)lii). if applicable. Persons who a re to respond to the collection of Information contalned in thi~ for m are not required to re5pond unless the form displays a currently valfd 0MB c:ontrol number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | ROBERT J. WOOD | | swear (or affirm) that, to the best of my knowledge and belief, the | |---------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to…Read the full text as markdown