Full text of CROWN CAPITAL SECURITIES, L.P.'s X-17A-5 filed 2024-04-01 (period 2023-12-31). 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 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-17264 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **Q 1/01/2022** MM/DD/YY AND ENDING **12/31/2022** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: \_C\_ro\_w\_n\_C\_a \_\_ p::.....\_ita\_l S\_e\_c\_u\_ri\_tie\_s\_, \_L\_. P\_. \_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer 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@crowncapitalsecurities.com (Name} (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Faber Hass Hurley LLP (Name-if individual, state last, first, and middle name) 9301 Oakdale Avenue Ste 230 Chatsworth CA 91311 (Address) (City) (State) (Zip Code) 2003 PCAOB-223 (Date of Registration with PCAOB}(if applicable) (PCAOB Reiristration Number, if applicable) **FOR OFFICIAL USE ONLY** "' Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(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 0MB control number,** {1}------------------------------------------------ #### **CALIFORNIA JURAT GOVERNMENT CODE § 8202** 0§ D E **SIB** O D J J D E D E D D § J D O O D E D O D E O B EHl D J E D il D E E3Eii £IJ B J BB **:no:ce::reo:eo't&l** " ~ 3 Im !l **ffltffl.tJ** **A** notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness…Read the full text as markdown