NASDAQ CAPITAL MARKETS ADVISORY LLC

SEC CIK 0001120037

CIK #1120037

The following is an index of Security and Exchange Commission registration information for NASDAQ CAPITAL MARKETS ADVISORY LLC. This page includes all SEC filing details as well as a list of any documents registered by NASDAQ CAPITAL MARKETS ADVISORY LLC.
Latest Edgar Filing Status
Updated2019-02-14
TypeBROKER-DEALER
IRS Number (EIN/SSN)261750032 ( EIN # 26-1750032)
Reporting File Number008-52750
Mailing AddressONE LIBERTY PLAZA 165 BROADWAY NEW YORK, NEW YORK 10006
StateDELAWARE
Contact Phone212-381-6440
Filings
Title
Date
Description
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2018-03-22 11:57:15-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2018-03-22 11:54:20-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2017-03-21 12:00:22-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2017-03-09 15:15:24-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2016-06-09 08:50:21-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2016-03-17 15:47:41-04:00
FOCUS Report
FOCUSN/A [Amend] [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-07-01 15:26:03-04:00
FOCUSN/A [Amend] [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-03-21 09:52:57-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2015-03-10 11:29:13-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2014-04-05 15:16:17-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2014-03-25 10:14:34-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2013-03-21 18:57:29-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2013-03-12 17:24:45-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2012-04-10 15:52:05-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2012-04-04 16:23:55-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2012-01-31 13:28:48-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2011-09-14 17:21:28-04:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2010-03-22 09:40:56-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2010-03-22 09:54:20-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2009-05-27 08:20:50-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2009-04-16 15:44:01-04:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2008-03-24 16:50:03-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2008-03-07 16:32:44-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2007-04-26 19:43:55-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2007-04-26 19:42:58-04:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2006-10-12 15:48:07-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2006-06-08 17:51:57-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2005-03-23 12:06:04-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2005-03-23 08:59:54-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2004-12-01 14:54:02-05:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2004-12-01 13:44:34-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2003-05-02 16:32:32-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2003-03-21 08:12:22-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2002-03-04 00:00:00-05:00
FOCUS Report

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