Form X-17a-5 - Annual Audited Report (Page 2 of 2) in pdf

OATH OR AFFIRMATION

I, ___________________________________________________________________________ , swear (or affirm) that, to the best of

my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of

_____________________________________________________________________________________________________________ , as

of _________________________________________________, 20________, are true and correct. I further swear (or affirm) that

neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account

classified solely as that of a customer, except as follows:

__________________________________________________________________________________________________________________________

_________________________________________

Signature

_________________________________________

Title

_________________________________________

Notary Public

This report ** contains (check all applicable boxes):

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(a) Facing Page.

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(b) Statement of Financial Condition.

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(d) Statement of Changes in Financial Condition.

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(e) Statement of Changes in Stockholders’ Equity or Partners’ or Sole Proprietors’ Capital.

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(f) Statement of Changes in Liabilities Subordinated to Claims of Creditors.

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(g) Computation of Net Capital.

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(h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3.

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(i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3.

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(j) A Reconciliation, including appropriate explanation of the Computation of Net Capital Under Rule 15c3-1 and the

Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3.

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(k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of

consolidation.

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(l) An Oath or Affirmation.

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(m) A copy of the SIPC Supplemental Report.

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(n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit.

**For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3).

Form X-17a-5 - Annual Audited Report Page 2