Full text of RCX CAPITAL GROUP, LLC'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 ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | | OMB APPROVAL | | |--------------------------|--------------|----------------------------| | OMB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | | | hours per response 12.00 | | | SEC FILE NUMBER | |---------|-----------------| | 8-53416 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17 a-5 Thereunder | A. REGISTRANT IDENTIFICATION<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | ~~~~~~~~~~~<br>MM/DD/YY<br>OFFICIAL USE ONLY | | |---------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | | | | | | | | | | | | FIRM l.D. NO. | | | | | | | | | | | | 77381 | | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>(858) 232-5887<br>B. ACCOUNTANT IDENTIFICATION | (Area Code - Telephone Number) | | | | | | | Texas | 75214 | | | (State) | (Zip Code) | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first, middle name)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | *\*Claims for exemption fi'om 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.J 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 OMB control number. SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | ______________________<br>I, _J_e_a_n-_L_o_ui_s_G_u_in_c_h_a_rd | , swear (or affirm) that, to the best of | |-------------------------------------------------------------------------------------------------------------------------------------------|-----------…Read the full text as markdown