Full text of CAPFINANCIAL SECURITIES, LLC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 omb approval OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | | | SEC FILE NUMBER | |--|-----------------| | | | 8-65870 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | AND ENDING 12/31/2021<br>FILING FOR THE PERIOD BEGINNING 01/01/2021 | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------|------------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: CapFinancial Securities, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>2 Broker-dealer<br>[] Check here if respondent is also an OTC derivatives dealer | | [] Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 4208 Six Forks Road, Suite 1700 | | | | | | | (No. and Street) | | | | | Raleigh | NC | | | 27609 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Denise Buchanan | 919 870 6822 | | | denise.buchanan@captrustadvisors.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Batchelor Tillery & Roberts, LLP | | | | | | | (Name -- if individual, state last, first, and middle name) | | | | | 3605 Glenwood Avenue, Suite 350 | Raleigh | | NC | 27612 | | (Address) | (City) | | (State) | (Zip Code) | | 2009 | | 3675 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement that the annual reports of an independent public<br>acc…Read the full text as markdown