Full text of CITIZENS CAPITAL MARKETS, INC.'s X-17A-5 filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | | | | | | | |--------------------------------------------|-----------------|------------------|--|--|--|--| | OMB Number | | 3235-0123 | | | | | | Expires | | October 31, 2023 | | | | | | Estimated avg burden<br>hours per response | | 12.00 | | | | | | | SEC FILE NUMBER | | | | | | | | 8-69651 | | | | | | # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** # **FACING PAGE** # **Information Required of Brokers and Dealers Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934** REPORT FOR THE PERIOD BEGINNING 01/01/21 AND ENDING 12/31/21 # **A. REGISTRANT IDENTIFICATION** NAME OF BROKER - DEALER: **Citizens Capital Markets, Inc.** **TYPE OF REGISTRANT (check all applicable boxes):** ☑ **Broker-dealer** ☐ **Security-based swap dealer** ☐ **Major security-based swap participant** ☐ **Check here if respondent is also an OTC derivatives dealer** > ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) **28 State Street, MS1240 Boston, Massachusetts 02118** NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT: **Susan McDonald (617) 598-5536** # **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* **Deloitte & Touche LLP 200 Berkeley Street Boston, Massachusetts 02116 PCAOB Registration Date and Number: 10/20/03 #34** 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 of the exemption. See section 240.17a-5(e)(1)(ii). {1}------------------------------------------------  {2}------------------------------------------------ CITIZENS CAPITAL MARKETS, INC. (SEC I.D. No. 8-69651) STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2021 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \*\*\*\*\*\* Filed pursuant to Rule 17a-5(e)(3) as a **PUBLIC DOCUMENT** {3}------------------------------------------------ # **CITIZENS CAPITAL MARKETS, INC. (A Wholly-Owned Subsidiary of Citizens Financial Group, Inc.)** # **TABLE OF CONTENTS** | | | This report contains (check all applicable boxes): | Page No. | |-----|-----|--------------------------------------------------------------------------------------------------------------…Read the full text as markdown