Full text of J.W. COLE FINANCIAL, INC.'s X-17A-5 filed 2024-04-01 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1 /Q 1 /2023** AND ENDING **12/31/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: J. w. COLE FINANCIAL INC. 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.) # 4301 ANCHOR PLAZA PARKWAY, STE #450 | | (No. and Street) | | | | | |---------------------------------------------------------------------------|------------------------------------------------------------|-----------------------|--------------------------------------------|--|--| | TAMPA | FL | | 33634 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | TODD PACK | 813-939-5842 | TODD.PACK@JW-COLE.COM | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | B. ACCOUNTANT IDENTlflCATION | | | | | | DEJOY & CO. CPAs, LLP | (Name - if individual, state last, first, and middle name) | | | | | | 280 EAST BROADWAY STREET #300 | ROCHESTER | NY | 14604 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 02/18/2004 | | 1069 | | | | | (Date of Registration with PCAOB)(if applicable)<br>r -<br><br>., | -- | | (PCAOB Reg;,i,,t;o, Nambe,,, appllcable)_I | | | \* 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 offacts 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 collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** I, ROBERT J.\_~ooo \_ \_ \_ \_ \_\_ ~ swear (or affirm} that, to the best of my…Read the full text as markdown