Focus Report Sec Form X 17a 5 Page 4

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FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
STATEMENT OF FINANCIAL CONDITION
ASSETS
Allowable
Non-Allowable
Total
E. Stocks and warrants ................................................
$
410
9
F. Options ....................................................................
420
G. Arbitrage ..................................................................
422
H. Other securities .......................................................
424
I.
Sport commodities ..................................................
430
$
850
8. Securities owned not readily marketable:
A. At Cost .....
$
130
440
$
610
860
8
9. Other investments not readily marketable:
A. At Cost .....
$
140
B. At estimated fair value .............................................
450
620
870
10. Securities borrowed under subordination
agreements and partners’ individual and
capital securities accounts, at market value:
A. Exempted
securities ..
$
150
B. Other ........
$
160
460
630
880
10
11. Secured demand notes-
market value of collateral:
A. Exempted
securities .. $
170
B. Other ........ $
180
470
640
890
12. Memberships in exchanges:
A. Owned, at market
value ........ $
190
B. Owned at cost .........................................
650
C. Contributed for use of company,
at market value ........................................
660
900
12
13. Investment in and receivables from affiliates,
subsidiaries and associated partnerships
480
670
910
14
14. Property, furniture, equipment, leasehold
improvements and rights under lease
agreements:
At cost (net of accumulated depreciation
and amortization)............................................
490
680
920
15. Other Assets:
A. Dividends and interest receivable ..............
500
690
B. Free shipments ........................................
510
700
C. Loans and advances ................................
520
710
D. Miscellaneous .......................................
530
720
930
11
16.
TOTAL ASSETS ..................................
$
540
$
740
$
940
13
OMIT PENNIES
SEC 1695 (07-02) 5 of 28

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