Full text of CAPFINANCIAL SECURITIES, LLC.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ CapFinancial Securities, LLC (A Wholly-Owned Subsidiary of The CapFinancial Group, LLC) Financial Statements and Supplemental Information December 31, 2020 (With Accountants' Report Thereon) {1}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL 0MB Number: 3235-0123 Expires: October 31, <sup>2023</sup> Estimated average burden # hours per response 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** SEC FILE NUMBER B- 65870 **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<br>PERIOD<br>FOR THE | BEGINNING | 01/01/2020 | | 12/31/2020<br>AND ENDING | | |----------------------------------------------------------------------------------------------|------------------|----------------------------|----------------------------------------------|-----------------------------------|--| | | | MM/DD/YY | | MM/DD/YY | | | | A.<br>REGISTRANT | | IDENTIFICATION | | | | OF BROKER-DEALER:<br>NAME | CapFinancial | Securities,<br>LLC | | OFFICIAL USE ONLY | | | BUSINESS:<br>use P.O.<br>No.)<br>ADDRESS OF<br>PLACE<br>OF<br>(Do<br>not<br>Box<br>PRINCIPAL | | | FIRM I.D.<br>NO. | | | | Forks<br>Road,<br>Suite<br>4208<br>Six | 1700 | | | | | | | | (No.<br>and Street) | | | | | Raleigh | | NC | | 27609 | | | (City) | | (State) | | (Zip Code) | | | NAME AND TELEPHONE<br>NUMBER<br>Denise Buchanan | OF<br>PERSON | TO<br>CONTACT | TO<br>IN REGARD<br>THIS<br>REPORT | 919 870 6822 | | | | | | | (Area Code -<br>Telephone Number) | | | | B.<br>ACCOUNTANT | | IDENTIFICATION | | | | | | | in this<br>Report* | | | | INDEPENDENT<br>PUBLIC<br>ACCOUNTANT | whose | opinion<br>is<br>contained | | | | | Batchelor<br>Tillery<br>&<br>Roberts, | LLP | | | | | | | (Name -if | | individual, state last, first, middle name ) | | | | 3605<br>Glenwood<br>Avenue, | Suite<br>350 | Raleigh | NC | 27612 | | | (Address) | | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | | /<br>Certified<br>Public | Accountant | | | | | | Public<br>Accountant | | | | | | | Accountant<br>not resident | in United | States<br>or<br>any<br>of | its possessions. | | | | | FOR | USE<br>OFFICIAL | ONLY | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant mu…Read the full text as markdown