Full text of IAM CAPITAL CORPORATION's X-17A-5 filed 2020-02-27 (period 2019-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours rres onse ..... . 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** SEC FILE NUMBER 8-50930 **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 01/01/2019 | | AND ENDING 12/31/2019 | | | |---------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------|------------------------------------|--------------------------------|--------------------| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: 1AM Capital Corporation<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | OFFICIAL USE ONLY<br>FIRM 1.D. NO. | | | | | | | | 276 Post Road West | | | (No. and Street) | | | | | Westport | CT | | 06880 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Lane S. Bucklan | | | 203-341 -9053 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>PKF O'Connor Davies, LLP | | | | | | | (Name - if individual. stare last. first. middle name) | | | | | 300 Tice Blvd. | Woodcliff Lake | NJ | 07677 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>j/jcertified Public Accountant<br>DPublic Accountant<br>DAccountant not resident in Un | ited States or any of its possessions.<br>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 fac ts and circumstances relied on as the basis for the exemption. See Section 240. I 7a-5(e)(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 0MB control number.** SEC 1410 (11 -05) {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | __<br>J, _L_a_n_e_s_._B_u_c_kl_a_n<br>_ | _____________________ | , swear (or a ffirm) that, to…Read the full text as markdown