Full text of CAPE SECURITIES INC.'s X-17A-5 filed 2022-12-28 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-20747 # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 09/30/2022 filing for the period beginning 10/01/2021 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Cape Securities Inc. TYPE OF REGISTRANT (check all applicable boxes): ■ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1600 Pennsylvania Ave | | | (No. and Street) | | | | |--------------------------------------------------|--------------|------------------------------------------------------------|-----------------|--------------------------------------------|--| | McDonough | | GA | | 30253 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Philip Ciantro | 646-226-9300 | | | phil@sinemetu.net | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Rubio CPA, PC | | (Name - if individual, state last, first, and middle name) | | | | | 2727 Paces Ferry Road SE Bldg 2, Suite 1680 | | Atlanta | GA | 30339-3054 | | | (Address) | | (City) | (State) | (Zip Code) | | | 05/05/2009 | | | 3514 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e){1)(ii), if applicable. 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. {1}------------------------------------------------ ### OATH OR AFFIRMATION swear (or affirm) that, to the best of my knowledge and belief, the I, James Webb financial report pertaining to the firm of Cape Securities Inc. as a manufacturer and as of 9/30 2022 \_ is true and correct. I further swear (or affirm) that neither the company nor any partner, office…Read the full text as markdown