Full text of CAPITAL PORTFOLIO MANAGEMENT, INC.'s X-17A-5/A filed 2024-06-06 (period 2024-03-31). 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 | OM8 APPROVAL<br>0MB Number; 3235-0lB | | |--------------------------------------|--| | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hOVfS perresponse: J2 | | | SEC FILE NUMBER | | 8-44225 # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill | | | CINC DACE | | | |--|--|-----------|--|--| | Information Required Pursuant to Rules 17a-5, 17a-U, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | |-----------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------------------------------------------------------|----------|-----------------------------------------|------------------------------------------| | FILING FOR THE PERIOD BEGINNING 0 4 /0<br>1/<br>2 023<br>AND ENDING, 03/31/2024 | | | | | | | | | MM/DO/VY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM : Capital Portfolio Management, Inc. | | | | | | | TYPE OF RE:GISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>0 Check here if responderit Is also an OTC derivatives dealer | □ Security-based swap dealer | | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no,) | | | | | | | 9515 Deereco Road, Suite 1010 | | | | | | | | | (No. ~nd Street) | | | | | Timonium | | | Maryland | | 21093 | | (City) | | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Patrick Dyer | | 410-667-4575 | | | pdyer@cpminvestments.com | | (Name) | | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | | | | | | | Kuczak & Associates, P.A. | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 139 North Main St, Ste 101 | | Bel Air | | Maryland 21014 | | | (Address) | | (City) | | (State) | (Zip Code) | | 02/23/2010 | | | 5023 | | | | (CMte of R.e11ism1tion with PCAOB)(lf appllcable) | | | | | (PCAOB Regimation Number, if applicable) | | * Claims for exemption from the requirement that the ann1,1:al reports be covered by the reports of an Independent public | | FOR OFFICIAL USE ONLY | | | | accountant must be supported by a statement offocts and circumstances relied on as the…Read the full text as markdown