Full text of AETHLON CAPITAL, L.L.C's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ 1VCMJD **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: 0DUPCFS Estimated average burden # hours per response.. . . . . 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | 49765<br>8- | **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 | 12/31/20<br>AND ENDING______________________________ | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------------------------------------------------|------------------------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. | REGISTRANT IDENTIFICATION | | | | | Aethlon<br>Capital,<br>LLC<br>NAME OF BROKER-DEALER:<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM I.D. NO. | | | | | | | | | 225<br>S.<br>6th<br>St.,<br>Suite<br>1790<br>___________________________________________________________________________________________________________________ | | | | | | | (No. and Street) | | | | | Minneapolis<br>___________________________________________________________________________________________ | MN | | 55402<br>__________________________ | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | _____________________________________________________________________________________________________________________<br>Sima Griffith | | | 612-338-6065<br>(Area Code – Telephone Number) | | | B. | ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Baker<br>Tilly<br>US,<br>LLP,<br>Lindell,<br>John<br>_____________________________________________________________________________________________________________________ | | | | | | | (Name – if individual, state last, first, middle name) | | | | | 225<br>S.<br>6th<br>St.,<br>Suite<br>2300<br>_____________________________________________________________________________________________________________________ | Minneapolis | MN | 55402 | | | (Address)…Read the full text as markdown