Full text of AFW ASSOCIATES LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ AFW ASSOCIATES LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2023 {1}------------------------------------------------ # CONTENTS | Facing Page -<br>Oath or Affirmation | 1-2 | |------------------------------------------------------------|-----| | Report of Independent<br>Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Notes to Financial Statement | 5-9 | {2}------------------------------------------------ | UNITED STATES | OMB Number: 3235-0123 | |------------------------------------|----------------------------| | SECURITIES AND EXCHANGE COMMISSION | Expires: November 30, 2026 | | Washington, D.C. 20549 | Estimated average burden | # ANNUAL AUDITED REPORT SEC FILE NUMBER FORM X-17A-5 8 - 69992 PART III | I<br>hours per response 12.00 | |-------------------------------| | | | I<br>EJ | | | | | | | | | | | | | | | #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 1/1/2023 | AND ENDING | 12/31/2023 | |-------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|------------|-----------------------------------------------| | | MM/DD/YYYY | | MM/DD/YYYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | AFW Associates LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | 152 West 57th Street, 36th Floor | | | | | | (No. and Street) | | | | NEW YORK | NY | | 10019 | | (City) | (State) | | (Zip Code) | | Michael Chung | | | (212)751-4422<br>(Area Code -- Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Citrin Cooperman & Company LLP | | | | | | (Name -- if individual, state last, first, middle name ) | | | | 180 Park Avenue, Suite 200 | Florham Park | NJ | 07932 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>x Certified Public Accountant<br>□<br>Public Accountant<br>□<br>Accountant not resident in United States or any of its possessions<br>□ | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independ…Read the full text as markdown