Full text of ASL CAPITAL MARKETS INC.'s X-17A-5 filed 2021-08-26 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## STATEMENT OF FINANCIAL CONDITION AS OF JUNE 30, 2021 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \*\*\*\*\*\* This report has been filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {1}------------------------------------------------ | | Expires:<br>October 31, 2023<br>Estimated average burden<br>Hours of response 12.00 | | | |-----------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|------------|-------------------| | | ANNUAL AUDITED REPORT | | | | | FORM X-17A-5 | | | | | PART III | | SEC FILE NUMBER | | | 8-69872 | | | | | FACING PAGE | | | | | Information Required of Brokers and Dealers Pursuance to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | REPORT FOR THE PERIOD BEGINNING | 07/01/2020 | AND ENDING | 06/30/2021 | | | | | | | | A. REGISTRATION IDENTIFICATION | | | | | | | | | NAME OF BROKER-DEALER: | ASL Capital Markets Inc. | | OFFICIAL USE ONLY | | | | | FIRM ID. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 600 Summer Street | | | | | | | | | | Stamford | CT | 06901 | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Mr. Robert K. Tuite | | | (203) 388-2955 | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Ernst & Young LLP | | | | | 300 1st Stamford Place | | | | | Stamford | CT | 06902 | | | CHECK ONE: | | | | | x Certified Public Accountant | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** **OMB APPROVAL OMB Number: 3235-0123** *\*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 for the exemption. See Section 240.17a-5(e)(2)* **Potential 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**. SEC 1410 (06-02) {2}--------------------…Read the full text as markdown