Full text of UNION CAPITAL COMPANY's X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 | SEC FILE NUMBER | |-----------------| | 8- 53127 | ## **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 1/1/2020 | ----------- | AND ENDING | -----------<br>12/31/2020 | |---------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------|------------------------------------------------| | | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | | NAME OF BROKER-DEALER: Union Capital Company | | | OFFICIAL USE ONLY | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 6407 E. Grant Rd. | (No. and Street) | | | | Tucson | AZ | | 85715 | | (City) | (State) | | (Zip Code) | | | B. ACCOUNTANT IDENTIFICATION | Frank Almada | 520-664-2001<br>(Area Code - Telephone Number) | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Hartgraves Accounting & Consulting, LLC | | | | | | (Name - if individual, state last, first, middle name) | | | | 325 N. St. Paul Street, Suite 3100 | Dallas | TX | 75201 | | (Address) | (City) | (Stale) | (Zip Code) | | CHECK ONE:<br>0certified Public Accountant<br>B<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | 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/acts and circumstances relied on as the basis/or the exemption. See Section 240.17a-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.** {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | 1, | _________<br>F_ra_n_k_A_l_m_a_d_a | | _________________ , swear (or affirm) that, to the best of | | |----|-------------------------------------------------------|--|------------------------…Read the full text as markdown