FOCUS Report First National Capital Markets, Inc.

X-17A-5 [Paper] - FOCUS Report

Published: 2005-04-12 10:25:43
Submitted: 2005-02-28
Period Ending In: 2004-12-31
scanned.pdf Scanned paper document


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                            05042164                      ANNUAL AUDITED REPORT                                        X
                                                                       FORM XA17A—5—                                            SEC FILE NUMBER
                                                                            PART I!I
                                                                                                                                      8— 53514
                                                                        FACING PAGE
                            Information Required or Brokers and Dealers Pursuant to Section 17 of the
                                      Securities Exchange Act of 1934 and Rule 17a—5 Thereunder

       REPORT FOR THE PERIOD BEGINNING                         01/01/04              AND ENDING                      12/31/04
                                                                       MM/DDYY                                                        MM/DDYY

                                                       A. REGISTRANT IDENTIFICATION
       NAME OF BROKER—DEALER:
                                                                                                                                     OFFICIAL USE ONLY
       First National Capital Markets, Inc.


       ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)

       1620 Dodge Street
                                                                           (No. and Street)


       Omaha                                                                     Nebraska                                              68197
                          (City)                                                (State)                                           (Zip Code)


       NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT

       Mr. Todd Engle, President                                                                                                  (402) 633—7470
                                                                                                                               (Area Code — Telephone No.)




                                                       B. ACCOUNTANT IDENTIFICATION

       INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*
       Deloitte & Touche LLP
                                                         (Name — if individual, state last, first, middle name)


       1601 Dodge Street, Suite 3100                          Omaha                                       Nebraska         4A             68102
                        (Address)                             (City)                                 (State)                          {(Zip Code)


       CHECK ONE:
        X]     Certified Public Accountant
         {Q        Public Accountant
         C         Accountant not resident in United States or any of its possessions.

                                                                  FOR GFFICIAL USE onLy                              KA 119 4A

       *Claims for exemption from the requirement that the annual report be covered by the opinion ofan independent public accountant must be supported
       by a statement offacts and circumstances relied on as the basis for the exemption. See section 240.17a5(e)(2).

       SEC 1410 (6—02)                                 Potential persons who are to respond to the collection of information
                                                       contained in this form are not required to respond unless the form displays
                                                       a currently valid OMB control number.


                                                                                                                                   : PR0cessep
                                                                                                                                         APR ; 3 2005
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                                                                           OATH OR AFFIRMATION


              I, Todd Engle, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and
              supporting schedules pertaining to the firm of First National Capital Markets, Inc., as of December 31, 2004, are true and
              correct, 1 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:

              N/A



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                                                                                             President
                                                                                             Title




                                                                                                     A       GENERAL NOTARY — State of Nebraska
                                                                                                         6           DiXIE L. MATHER
                                                                                                                  My Comm. Exp. Jung 21, 2006




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

                                 (a) Facing page.
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                                 (b) Statement of Financial Condition.
                                 (c)   Statement of Operations.
                                 (d)   Statement of Cash Flows.
                                 (e)   Statement of Changes in Stockholder‘s Equity.
                                 (£)   Statement of Changes in Liabilities Subordinated to Claims of Creditors.
                                 (g)   Computation of Net Capital.
                                 (h)   Computation for Determination of Reserve Requirements Pursuant to Rule 15c3—3.
                                 (i)   Information Relating to the Possession or Control Requirements Under Rule 15c3—3.
                                 (§) 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 15¢c3—3.
                                 (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods
                                       of consolidation.
                                 (1)   An Oath or Affirmation.
                                 (m) A copy of the SIPC Supplemental Report.
                                 (n)   Supplemental Report on Internal Control.

               **For conditions ofconfidential treatment ofcertain portions ofthis filing, see section 240.17a—5(e)(3).
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          FIRST NATIONAL CAPITAL MARKETS, INC.

          STATEMENTS OF FINANCIAL CONDITION
          DECEMBER 31, 2004 AND 2003


          ASSETS                                                                             2004           2003

          Cash and cash equivalents                                                    $1,708,481      $1,576,700
          Receivables:
           Commissions                                                                      120,225         119,505
           Affiliate (Note D)                                                                80,263         110,629
           Interest                                                                          26,625             —
           Other                                                                             16,466          23,258
                 Total Receivables                                                          243,579         253,392

          Prepaid expenses and other assets                                                  43,068         378,272
          Property and equipment, net (Note C)                                               49,226          81,889
          Investment in partnership                                                         500,000         150,000

                 Total Assets                                                          $2,544,354      $2,440,253

          LIABILITIES AND STOCKHOLDER‘S EQUITY

          LIABILITIES:
           Accrued expenses and other liabilities                                      $     123,039   $    117,714
           Affiliate accounts payable (Note D)                                                94,892         90,021
           Note payable (Note F)                                                                 —          350,000
           Income taxes payable                                                               16,034        125,724

                 Total Liabilities                                                          233,965         683,459

          COMMITMENTS AND CONTINGENCIES (Note G)

          STOCKHOLDER‘S EQUITY:
           Common stock, $1.00 par value; 10,000 shares authorized, issued and
            outstanding                                                                       10,000          10,000
           Additional paid—in capital                                                        640,000         640,000
           Retained earnings                                                               1,660,389       1,106,794

                 Total Stockholder‘s Equity                                                2,310,389       1,756,794

                 Total Liabilities and Stockholder‘s Equity                            $2,544,354      $2,440,253
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          The accompanying notes are an integral part of these financial statements.
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