Full text of CAPLINK SECURITIES, INC's X-17A-5 filed 2024-03-26 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 | ANNUAL REPORTS | |----------------| | FORM X-t7A-5 | | PART IlI | | OMB APPROVAL | |--------------------------| | OMB Number: 3235-0123 | | Expires: Nov.30,2026 | | Estimated average burden | | hours per response: l2 | # SEC FILE NUMBER 8-66379 FACING PAGE lnformation Required Pursuant to Rules 17a-5, L7a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01IO1I2O23 | | | | AND ENDTNG 1213112023 | |------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|--------------------------|-----------------------| | | MM/DD/YY | | | MM/DDiYY | | | A. REGISTRANT IDENTTFICATION | | | | | Caplink Securities lnc.<br>NAME oF F,RM: | | | | | | TYPE OF REGISTRANT (check allapplicable boxes):<br>El Broker-dealer D Security-based swap dealer<br>n Check here if respondent is also an OTC derivatives dealer | | I Malor security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 200 Pier Avenue, Suite 123 | | | | | | | (No. and Street) | | | | | Hermosa Beach | CA | | | 9A254 | | (city) | | | | (zip code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Thomas Barrett | 949-244-1980 | | thomasbanettca@gmail.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOU NTANT IDENTI FICATION | | | | | 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, Ste. 303 Bloomingdale lL | | | | 60608 | | (Address) | | | (State) | (zip Code) | | | | | | Number, if | | * Claims for exemption from the requirement that the annual reports be covered by the 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(eXrXii), 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, {1}------------------------------------------------ ####…Read the full text as markdown