Full text of ETC BROKERAGE SERVICES, LLC's X-17A-5 filed 2023-04-03 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **TABLE OF CONTENTS** #### **DECEMBER 31, 2022** | | Page | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------| | FACING PAGE | 1 | | OATH OR AFFIRMATION | 2 | | INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT | 3-4 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 5 | | Statement of Income | 6 | | Statement of Changes in Members' Equity | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements | 9-14 | | SUPPLEMENTARY INFORMATION | | | Computation of Net Capital Pursuant to Rule 15c3-1<br>Schedule I -<br>of the Securities and Exchange Commission | 15 | | Computation for determination of Reserve Requirements and Information<br>Schedule II -<br>Related to Possession or Control Requirements under Rule 15c3-3 of the Securities and<br>Exchange Commission | | | | 16 | {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > **ANNUAL REPORTS FORM X-17A-5 PARTIII** **0MB APPROVAL 0MB Number: 3235·0123 E>cpkes: Oct. 31, 2023 Estimated average burden hours per response: 12** SEC FILE NUMBER FACING PAGE Information Required Pursuant ta Rules 17a-5, 17a-12, and lBa-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | 01/ 6 l / -Z,-Z<br>r MM/oD/YY | __<br>AND ENDING | .LI 2=¥-/.,.3,._,i/c;:.~=2=-<br>r&Mtoo'fiv | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|---| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM:_:~::!_! C=-__,6=Q.::.:o::::.;U-(2.i:::;.:=A=G-,<JG.e.-__,S"'""'ete.=l/"-"-'l (,_,,.r:5:S-'-".___,,L-'-='-=-'C-,,,,,_ | | I | __ | _ | | TYPE OF REGISTRANT (check al! applicable boxes):<br>'JS Broker-dealer<br>D Check here If respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) |…Read the full text as markdown