Full text of CROWN CAPITAL SECURITIES, L.P.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | SECURITIES AND EXCHANGE COMMISSION | UNITED STATES<br>Washington, D.C. 20549 | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|-----------------------------------------------------------------------------------------------------------------------| | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-17264 | | | | PART Ill | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | FILING FOR THE PERIOD BEGINNING Q 1/01/2021 | | | | AND ENDING 12/31/2021 | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: _C_ro_w_n_C_a_p_ita_l S_e_c_u_r_it_ie_s_, _L_. P_. | | | | ______<br>_ | | TYPE OF REGISTRANT (check all applicable boxes}:<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | | D Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 725 Town and Country Road, | | Ste 530 | | | | | | (No. and Street) | | | | Orange | | California | | 92868 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Darol K. Paulsen | 714 547-9481 | | | dpaulsen@crowncapilalsecurities.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Faber Hass Hurley LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 9301 Oakdale Avenue, Ste 230 | | Chatsworth | CA | 91311 | | (Address) | (City) | | | (Zip Code) | | 2003<br>r• | | | | PCAOB -223 | | of Reglst,atioa with PCAOB)(lf apPllcable) | | FOR OFFICIAL USE ONLY | | )PCAOB Reglstratioo N•mbec, If appllcable)I | | | | | | | 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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, DAROL K…Read the full text as markdown