Full text of BAKER TILLY CAPITAL, LLC's X-17A-5 filed 2023-08-29 (period 2023-05-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Madison, Wisconsin **Financial Statement As of May 31, 2023** Filed Pursuant to Rule 17a-5(d) Under the Securities Exchange Act of 1934 {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 SEC FILE NUMBER 8-53480 # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 05/31/2023 filing for the period beginning 06/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: BAKER TILLY CAPITAL, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 4807 INNOVATE LANE | | | (No. and Street) | | | | | |------------------------------------------------------------------------------------------|--------------------------------|-----------------------|---|--------------------------------------------|------------|--| | MADISON | | W | | 53718 | | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | BARBARA OLSON | 608-240-2541 | | | barb.olson@bakertilly.com | | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>MARCUM, LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | NINE PARKWAY NORTH, SUITE 200 DEERFIELD | | | - | | 60015 | | | (Address) | (City) | | | (State) | (Zip Code) | | | 10/16/2003 | 638 | | | | | | | (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 accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. 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. {2}------------------------------------------------ #### OATH OR AFF…Read the full text as markdown