Full text of ARCOLA SECURITIES, INC.'s X-17A-5 filed 2023-02-17 (period 2022-12-31). 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, 2022 With Report of Independent Registered Public Accounting Firm *(SEC I.D. No. 8-67940)* {1}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-67940 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 01/01/22 12/31/22 FILING FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Arcola Securities, Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer O Security-based swap dealer O 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 10036 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING 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 (Name - if individual, state last, first, and middle name) One Manhattan West New York NY 10001 (Address) (City) (State) (Zip Code) 10/20/2003 42 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Mike Hernandez | | | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |----------------|--|-----------------------------------------------------------------------------------|--|--|---------------------------------------------------------------------|-------| | | | financial report pertaining to the firm…Read the full text as markdown