Full text of ATB CAPITAL MARKETS USA INC.'s X-17A-5 filed 2021-06-01 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **ATB Capital Markets USA Inc. Formerly known as AltaCorp Capital (USA) Inc.** March 31, 2021 Statement ofFinancial Condition (Expressed in U.S. dollars) (With Report oflndependent Registered Public Accounting Firm) {1}------------------------------------------------  CPAs & Professional Advisors 5847 San Felipe St., Suite 2600 Houston, Texas 77057-3000 Main: (713) 860-1400 Fax: (713) 355-3909 www.pkftexas.com #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Shareholder of ATB Capital Markets USA Inc. #### Opinion on the Financial Statement We have audited the accompanying statement of financial condition of ATB Capital Markets USA Inc., a wholly owned subsidiary of ATB Capital Markets, Inc., as of March 31, 2021, and the related notes (collectively referred to as the "financial statement"). In our opinion, the statement of financial condition presents fairly, in all material respects, the financial position of ATB Capital Markets USA Inc. as of March 31, 2021 in conformity with accounting principles generally accepted in the United States of America. #### Basis for Opinion This financial statement is the responsibility of ATB Capital Markets USA Inc.'s management. Our responsibility is to express an opinion on ATB Capital Markets USA Inc.'s financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to ATB Capital Markets USA Inc. in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statement, whether due to error or fraud, and performing procedures that frespond to those risks. Such procedures included examining, on a test basis, evidence supporting the amounts and disclosures in the financial statement. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating…Read the full text as markdown