Full text of ARCOLA SECURITIES, INC.'s X-17A-5 filed 2021-02-23 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  STATEM ENT OF FI NANC I AL C ONDI TI ON Arcola Securities, Inc. December 31, 2020 With Report of Independent Registered Public Accounting Firm *(SEC I.D. No. 8-67940)* {1}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | OMB APPROVAL | | | |---------------------------|--------------|---------------------------|--| | OMB Number: | | 3235-0123 | | | | | Expires: October 31, 2023 | | | Estimated average burden | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-67940 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/20 | AND ENDING | 12/31/20<br>MM/DD/YY | | |------------------------------------------------------------------------------------------|---------------------------------------------------------|------------|--------------------------------|--| | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Arcola Securities, Inc. | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | FIRM I.D. NO. | | | | | 1211 Avenue of the Americas, 41st Floor | | | | | | | (No. and Street) | | | | | New York | NY | | 10036 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Mike Hemandez | | | (646) 454-3742 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Ernst & Young, LLP | | | | | | | (Name - if individual, state last, first, middle name ) | | | | | Five Times Square | New York | NY | 10036 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17c…Read the full text as markdown