Full text of TRANSAMERICA CAPITAL, INC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINANCIAL STATEMENT Transamerica Capital, Inc. Year Ended December 31 , 2020 With Report of Independent Registered Public Accounting Firm *(Pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934)* {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | | | | | | |---------------------------|---------------|--|--|--|--| | OMBNumber: | 3235-0123 | | | | | | Expires: | May 31 , 2021 | | | | | | Estimated average burden | | | | | | | hours perresponse 12. 00 | | | | | | SEC FILE NUMBER **8-24829** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** **FACING PAGE** ### **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01/01/20<br>MM/DD/YY | AND ENDING | 12/31/20<br>MM/DD/YY | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------|------------|-----------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER:<br>Transamerica Capital, Inc . | | | OFFICIAL USE ONLY<br>FIRMI.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>1801 California Street | | | | | | (No. and Street) | | | | Denver<br>(City) | Colorado<br>(State) | | 80202<br>(Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Brian Beitzel<br>(319) 355-2802 | | | | | | B. ACCOUNTANT IDENTIFICATION | | (Area Code - Telephone Number) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>PricewaterhouseCoopers LLP | (Name - if individual, state last, first, middle name) | | | | 1 N. Wacker Drive | Chicago | Illinois | 60606 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>(X) Certified Public Accountant<br>( ) Public Accountant<br>( ) Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | *Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public acc…Read the full text as markdown