| Schedule of Amounts Receivable from, Payables to, Deposits Broker-Dealers and Clearing Organizations |
Amounts
receivable from, payables to, and deposits with broker-dealers and clearing organizations consisted of the following as of the periods
indicated:
| | |
As
of
March 31,
2024 | | |
As
of December 31,
2023 | |
| Receivables from and deposits with broker-dealers and clearing organizations | |
| | |
| |
| DTCC / OCC / NSCC (1) | |
$ | 13,826,000 | | |
$ | 9,332,000 | |
| Goldman Sachs & Co. LLC (“GSCO”) | |
| 41,000 | | |
| 38,000 | |
| National Financial Services, LLC (“NFS”) | |
| 2,487,000 | | |
| 2,212,000 | |
| Securities fail-to-deliver | |
| 759,000 | | |
| 119,000 | |
| Globalshares | |
| 93,000 | | |
| 47,000 | |
| Total Receivables from and deposits with broker-dealers and clearing organizations | |
$ | 17,206,000 | | |
$ | 11,748,000 | |
| | |
| | | |
| | |
| Payables to broker-dealers and clearing organizations | |
| | | |
| | |
| Securities fail-to-receive | |
$ | 981,000 | | |
$ | 399,000 | |
| Payables to broker-dealers | |
| 1,022,000 | | |
| 82,000 | |
| Total Payables to broker-dealers and clearing organizations | |
$ | 2,003,000 | | |
$ | 481,000 | |
| (1) | Depository
Trust & Clearing Corporation is referred to as (“DTCC”), Options Clearing Corporation is referred to as (“OCC”),
and National Securities Clearing Corporation is referred to as (“NSCC”). |
|