Full text of ARCOLA SECURITIES, INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  STATEMENT OF FINANCIAL CONDITION Arcola Securities, Inc. December 31, 2021 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-S PART Ill** SEC FILE NUMBER 8-67940 **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\_l/\_O\_l\_/2\_1 \_\_\_\_ AND ENDING \_\_\_ 12\_/\_3\_1/\_2\_1 \_\_ \_ MM/DD/VY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_ A\_r\_co\_l\_a\_S\_e\_c\_u\_ri\_ti\_e\_s,\_l\_n\_c\_. --------------------- TYPE OF REGISTRANT (check all applicable boxes): [x] Broker-dealer D Security-based swap dealer D Major security-based swap participant 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.) 1211 Avenue of the Americas, 41st Floor (No. and Street) New York **NY** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10036 (Zip Code) Mike Hernandez {646) 454-3742 mhernandez@arcolasecurities.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst & Young, LLP One Manhattan West (Address) 10/20/2003 (Name - if individual, state last, first, and middle name) New York (City) NY (State) **42** 10001 (Zip Code) **rte of R,g;m,,;oo w<h PCAOB)(ff applkable] FOR OFFICIAL USE ONLY (PCAOB R,g;stratloo N,mbec,** If **applkabl,)** 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 of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-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.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | | 2~<br>financial report pertaining to the firm of<br>as of<br>Arcola Securities, Inc. | | | | | | |------|------…Read the full text as markdown