Full text of CAPE SECURITIES INC.'s X-17A-5 filed 2021-12-29 (period 2021-09-30). 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 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | omb approval OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden kours per response: 12 > SEC FILE NUMBER 8 - 20747 ## 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 | | | 09/30/21 | | | |------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------|--------------------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Cape Securities, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | മ Broker-dealer<br>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 Avenue | | | | | | | (No. and Street) | | | | | | | McDonough | GA | | 3074-3 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Jim R. Webb | (414) 352-5050 | jrwebb@capesecurities.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing *<br>Rubio CPA, PC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 2727 Paces Ferry Rd SE, STE 2-1680 | Atlanta | Georgia | 30年に | | | | (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 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-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}------------------------------------------------…Read the full text as markdown