Full text of AK CAPITAL LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | UNIS APPROVAL | | |---------------------------|---------------|-----------| | OMB Number: | | 3235-0123 | | Expires: October 31, 2023 | | | | Estimated average burden | | | | hours per response 12.00 | | | | | | | | SEC FILE NUMBER | | |-----------------|--| | 8-43682 | | 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 01/01/2020 | TERAL FRIENTER A TRAN OF TOOL I MERA TENER T IN P<br>AND ENDING 12/31/2020 | | | | |---------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|---------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: AK Capital, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 445 PARK AVENUE, 9TH FLOOR | | | | | | | (No. and Street) | | | | | New York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Paul Ebert | | | 201-738-9373 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | CROWE LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 485 LEXINGTON AVENUE | NEW YORK | NY | 10017 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | 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 accountant | | | | | must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17a-5(c)(2) Potential 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