Full text of CAPITOL SECURITIES MANAGEMENT, INC.'s X-17A-5 filed 2022-03-08 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | UNITED STATES | | 0MB APPROVAL | | |---------------------------------------------------------------------|--------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------|-------------------------------------------------------|--| | PUBLIC | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | | Washington, D.C. 20549 | | Estimated average burden<br>12<br>hours per response: | | | | | ANNUAL REPORTS | | | | | | | FORM X-17A-5 | | SEC FILE NUMBER<br>8-30353 | | | | | PART Ill | | | | | | | | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2021 | | | AND ENDING 12f3 | 1 f2021 | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Capitol Securities Management, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer | D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | 100 Concourse Blvd Suite 101 | | | | | | | | (No. and Street) | | | | | | Glen Allen | VA | | 23059 | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Lia B Goff | | 804-612-9712 | lgoff@capitolsecurities.com | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | OHAB AND COMPANY, PA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 100 E SYBELIA AVE, SUITE 130 MAITLAND | FL | 32751 | | | (Address) | | (City) | (State) | (Zip Code) | | | JULY 28, 2004 | | | 1839 | | | | rte of ·•~nra,;on with | | PCAOB)(O appnrable) FDR OFFICIAL USE ONLY | | (PCAOB "'""'""·" N,mboc, If appllrab~) I | | | | | | | | | | | | * 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 ba…Read the full text as markdown