Full text of KA ASSOCIATES, INC.'s X-17A-5 filed 2021-09-29 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III 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 07/01/20 AND ENDING 06/30/21 MM/DD/YY MM/DD/Y Y A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: KA Associates, Inc. OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) FIRM I.D. NO. 1800 Avenue of the Stars, Third Floor (No. and Street) Los Angeles CA 90067 (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT (Area Code - Telephone Number) B. ACCOUNTANT IDENTIFICATION (Name - if individual, state last, first, middle name) Nine Parkway North, Suite 200 Deerfield 60015 (Address) (City) (State) (Zip Code) CHECK ONE: Certified Public Accountant Public Accountant 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 facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(c)(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 OMB control number. SEC 1410 (11-05) Estimated average burden hours per response .. . . . . . 12.00 SEC FILE NUMBER 3235-0123 OMB APPROVAL Expires: O October 31, 2023 OMB Number: 8-45640 INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* ## Marcum LLP {1}------------------------------------------------ #### OATH OR AFFIRMATION | Paul Stapleton<br>swear (or affirm) that, to the best of | | |-----------------------------------------------------------------------------------------------------------------|--| | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of | | | KA Associates, Inc. | | | | | of June 30 June 30 June 30 20 21 2 2 2 2 2 neither the company nor any partner, principal officer or director has any proprietary interest in any account Signatyre CFO Title Notary Public This report \*\* contains (check all applicable boxes): (a) Facing Page. - 7 (b) Statement of Financial Condition. - (c) Stat…Read the full text as markdown