Full text of N4 FINANCIAL, INC.'s X-17A-5 filed 2022-02-09 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ACCOUNTING FIRM REPORT FINANCIAL STATEMENTS AND INDEPENDENT REGISTERED PUBLIC DECEMBER 31, 2021 {1}------------------------------------------------ ## **CONTENTS** | Report of Independent Registered Public Accounting Firm | | |----------------------------------------------------------------------------------|-------| | Financial Statements | | | Statement of Financial Condition | 2 | | Statement of Operations | 3 | | Statement of Changes in Stockholders' Equity | 4 | | Statement of Cash Flows | 5 | | Notes to Financial Statements | 6 - 7 | | Supplemental Information | | | Schedule I | 8 | | Computation of Net Capital under Rule 15c3-1 | | | Reconciliation with Company's Net Capital Computation | | | Schedule II | 9 | | Computation for Determination of Reserve Requirement Pursuant<br>to Rule 15c3-3 | | | Information for Possession or Control Requirements under Rule 15c3-3 | | | Reconciliation between Audited and Unaudited<br>Statement of Financial Condition | | | Report of Independent Registered Public Accounting Firm on Exemption Report | 10 | | Exemption Report for SEC Rule 15c3-3 | 11 | {2}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: ## ANNUAL REPORTS FORM X-17A-5 PART III | | SEC FILE NUMBER | | |--|-----------------|--| FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | AND ENDING 12/31/2021<br>FILING FOR THE PERIOD BEGINNING 01/01/2021 | | | |------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: N4 Financial. Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>[] Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 809 Laurel St #952 San Carlos | | | | | | (No. and Street) | | | | San Carlos | CA | | 94070 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Mark Rog…Read the full text as markdown