Full text of NW CAPITAL MARKETS INC.'s X-17A-5 filed 2022-03-01 (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 For the year ended December 31, 2021 {1}------------------------------------------------ #### UNITED STA TES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III | OMB Number: 3235-0123 | |--------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | SEC FILE NUMER | 8- 35363 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Excha nge Act of 1934 FILING FOR THE PERIOD BEGINNING 01 /01 /21 AND ENDING 12/31 /2 ·1 MM/DDNY ~---------------------~ MM/DDNY ### A. REGISTRANT IDENTIFICATION # NAME OF FIRM: \_\_ N\_W \_\_ C\_a\_p\_ita\_l\_M\_ a\_rk\_e\_ts\_ ln\_c\_. \_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): ~ 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.) 2 Hudson Place | | (No. and Street) | | | |----------------------------------------------|----------------------------------------------------------------------------|--------------------------|------------| | Hoboken | NJ | | 07030 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Dennis J Enright | (201) 656-0115 | DEnright@nwfinancial.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | Adeptus Partners LLC | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing* | | | | | (Name - if individual, state last, first, and middle name) | | | | 733 Route 35 N, Suite A Ocean | | NJ | 07712 | | (Address) | (City) | (State) | (Zip Code) | | 01/06/2010 | | 3686 | | #### FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supp-0rted by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240. l 7a-5(e)( I )(ii), if applicable. Persons who arc to respond to the collection of information contained in this form arc not required to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ #### AFFIRMATION I, Dennis J Enright , swear (or affirm) that, to the…Read the full text as markdown