Full text of CAPLINK SECURITIES, INC's X-17A-5 filed 2022-03-18 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | |---------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|-----------------|-------------------------------------------------------------------------------------------------------|--| | | SECURITIES AND EXOIANGE COMMISSION<br>Washington, D.C. 20549 | | 0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8-66379 | | | | PART Ill | | | | | | FACING PAGE | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Excha~e Act of 1934 | | | | | | | | | __ | | | FILING FOR THE PERIOD BEGINNING | 01/01/2021<br>MM/00/YY | AND ENDING<br>- | 12/31/2021<br>--=c:;,.:::;;;;;;.;;;=<br>MM/DD/VY | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAM E OF FIRM: _<br>_ C:::::a::.ip~L:.!:in:.::k:::S~e~c:::u:: ri~f :.::1e:;:. s:.;ln~c::·:.,_ | ____ | _ | ______________<br>_ | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>(29 Broker-dealer | D Security-based swap dealer | | D Major security-based swap participant | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 200 Pier Avenue, Suite 123 | (No. and Street) | | | | | | | | | | | Hermosa Beach | CA | | 90254 | | | {Oty) | (State) | | (Zip Code) | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | Nicolette Denney | 760-815-1817<br>(Area Code - Telephone Number) | | (Email Address) | | | (Name) | | | ndenney@fincocontrols.com | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Michael Coglianese CPA P.C. | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 125 E. Lake Street, Suite 303 | | | | | | {Address) | Bloomingdale<br>(Oty) | IL | 60108<br>(State)<br>(Zip Code) | | | | | | | | | 10/30/2009 | | | 3874 | | | (Date of Registration with PCAOB)(if aoolicable) | | | (PCAOB Registration Number, If applicable) | | | | FOR OFFICIAL USE ONLY | | | | CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contai…Read the full text as markdown