Full text of ASL CAPITAL MARKETS INC.'s X-17A-5 filed 2024-08-28 (period 2024-06-30). 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, 2024 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}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07 /01 /23** AND ENDING **06/30/24** MM/DD/VY MM/DD/VY 0MB APPROVAL 0MB Number: 3235-0123 8-69872 **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: ASL CAPITAL MARKETS INC. TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 600 SUMMER STREET, SUITE 402 | | (No. and Street) | | | | | |------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------------------------------|-------------------------|--|--| | STAMFORD | CT | | 06901<br>(Zip Code) | | | | (City) | (State) | | | | | | 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*<br>ERNST & YOUNG LLP | (Name - if individual, state last, first, and middle name) | | | | | | | 300 1ST STAMFORD PLACE STAMFORD | CT | | | | | | | | | | | | (Address) | (City) | (State) | 06902<br>(Zip Code) | | | | 10/20/2003 | | 42 | | | | | | | (PCAOB R,g;st,atio, N,mbe,, ff applkable) | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained** in **t…Read the full text as markdown