Full text of CAPE SECURITIES INC.'s X-17A-5 filed 2023-12-29 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Nov. 30. 2026 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-20747 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 filing for the period beginning 10/01/22 09/30/23 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Cape Securities Inc. TYPE OF REGISTRANT (check all applicable boxes): · Broker-dealer C Security-based swap dealer O 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 (State) (City) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Philip Ciantro 646-226-9300 phil@sinemetu.ne (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Rubio CPA, PC (Name - if individual, state last, first, and middle name) 2727 Paces Ferry Road SE Atlanta GA 30339-30 (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 | | James Webb<br>swear (or affirm) that, to the best of my knowledge and belief, the | |------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | tinancial report pertaining to the firm of Cape Securities Inc.<br>as of | | a 30 | 2 023 is true and correct. I further swear (or affirm) that neither the company nor any | | | partner, officer, director, or equivalent person, as the case may be, has…Read the full text as markdown