Full text of ASL CAPITAL MARKETS INC.'s X-17A-5 filed 2023-08-28 (period 2023-06-30). 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, 2023 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}------------------------------------------------ | | (No. and Street) | | |----------------------------------------------|---------------------------------------------------------------------------|-------------------------| | STAMFORD | CT | 06901 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | ROBERT K. TUITE | 203-388-2955 | ROBERT.TUITE@ASLCAP.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) | | | 300 1ST STAMFORD PLACE STAMFORD | CONTINE OF ILLARINGS SEMAN TRANS CONSTITUTED AND LEINDOW LIGHTING | | 06902 | |---------------------------------|-------------------------------------------------------------------|---------|------------| | (Address) | (City) | (State) | (Zip Code) | | (Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable) | |--------------------------------------------------|--------------------------------------------| | FOR OFFICIAL USE ONLY | | | | | {2}------------------------------------------------ | swear (or affirm) that, to the best of my knowledge and belief, the<br>ROBERT K. TUITE | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of ASL CAPITAL MARKETS INC.<br>as of<br>6/30<br>2 023 is true and correct. I further swear (or affirm) that neither the company nor any | | partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | as that of a customer. | | | | | | | | Title: | | CHIEF FINANCIAL OFFICER<br>Wendi W. Farrell | | Notary Public, State of Connecticut | | Notary Public<br>My Commission Expires Aug. 31, 2026 | | This filing ** contains (check all applicable boxes): | | (a) Statement of financial condition. | | (b) Notes to consolidated statement of financial condition. |…Read the full text as markdown