Full text of KEEL POINT CAPITAL, LLC's X-17A-5 filed 2024-09-24 (period 2021-12-31). 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 | | 0MB APPROVAL | | | | |--------------------------|--|--|--| | 0MB Number: 3235-0123 | | | | | Expires: Oct. 31, 2023 | | | | | Estimated average burden | | | | | hours per response: 12 | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-22990 | | **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 01/01/2021 | AND ENDING 12/31/2021 | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------------------------------------|-------------------------| | ----------<br>MM/DD/VY | | ----------- | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Keel Point Capital, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>[iii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 100 Church Street Suite 500 | | | | | | (No. and Street) | | | | Huntsville | AL | | 35801 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Sandra H. Stephens | 256-704-5113 | | sstephens@keelpoint.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>EEPB, P.C. | | | | | | (Name - if individual, state last, first, and middle name) | | | | 2950 North Loop West, Suite 1200 | Houston | TX | 77092 | | (Address) | (City) | (State) | (Zip Code) | | November 5, 2003 | | 879 | | | | | {PCAOB R,g;,.,,,oo N,mb.,, ;f appUcabl,J | | | | 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.l 7a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained…Read the full text as markdown