X-17a-5 Part Ii A Page 4
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9FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
as of _____________________
STATEMENT OF FINANCIAL CONDITION FOR NONCARRYING, NONCLEARING AND
CERTAIN OTHER BROKERS OR DEALERS
LIABILITIES AND OWNERSHIP EQUITY
A.I.
Non-A.I.
Liabilities
Liabilities
Liabilities
Total
13. Bank loans payable ................................................
$
1045
$
1255
$
1470
W
13
14. Payable to brokers or dealers:
A. Clearance account ...........................................
1114
1315
1560
B. Other ...............................................................
1115
1305
1540
W
10
15. Payable to non-customers .....................................
1155
1355
1610
16. Securities sold not yet purchased,
at market value .......................................................
1360
1620
17. Accounts payable, accrued liabilities,
expenses and other ................................................
1205
1385
1685
18. Notes and mortgages payable:
A. Unsecured .......................................................
1210
1690
B. Secured ...........................................................
1211
1390
1700
W
W
12
14
19. E. Liabilities subordinated to claims
of general creditors:
A. Cash borrowings: ............................................
1400
1710
1. from outsiders
$
970
W
9
2. includes equity subordination (15c3-1(d))
of . . .
$
980
B. Securities borrowings, at market value ............
1410
1720
from outsiders
$
990
C. Pursuant to secured demand note
collateral agreements ......................................
1420
1730
1. from outsiders $
1000
2. includes equity subordination (15c3-1(d))
of . . .
$
1010
D. Exchange memberships contributed for
use of company, at market value ........................
1430
1740
E. Accounts and other borrowings not
qualified for net capital purposes ........................
1220
1440
1750
20.
TOTAL LIABILITIES ......................................
$
1230
$
1450
$
1760
Ownership Equity
21. Sole Proprietorship ..............................................................................................................................................................................
$
1770
W
15
22. Partnership (limited partners) ....................................
W
($
1020 )
1780
11
23. Corporation:
A. Preferred stock .............................................................................................................................................................................
1791
B. Common stock .............................................................................................................................................................................
1792
C. Additional paid-in capital ..............................................................................................................................................................
1793
D. Retained earnings .........................................................................................................................................................................
1794
E. Total .............................................................................................................................................................................................
1795
F. Less capital stock in treasury .......................................................................................................................................................
(
) 1796
W
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24.
TOTAL OWNERSHIP EQUITY .................................................................................................................................................
$
1800
25.
TOTAL LIABILITIES AND OWNERSHIP EQUITY ......................................................................................................................
$
1810
OMIT PENNIES
SEC 1696 (02-03) 5 of 16
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