Full text of ALDERMAN & COMPANY CAPITAL, LLC's X-17A-5 filed 2020-02-21 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Alderman & Company Capital, LLC Report Pursuant to Rule 17 A-5 of The Securities and Exchange Commission December 31, 2019  **INVESTMENT BANKERS** TO THE **AEROSPACE** & **DEFENSE INDUSlRY** {1}------------------------------------------------ **UNlTEDSTATES SECURITIES AND EXCHANGECOMMISSIO Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | 0MB APPROVAL | | | | | |---------------------------------|--|--|--|--| | 3235-0123 | | | | | | 0MB Number:<br>August 31 , 2020 | | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | | | | SEC RLE NUMBER | |----------------| | B-67019 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01f19 | | NG 12/31/19 | | |----------------------------------------------------------------------|----------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | MM/00/YY | | -----------<br>MM/0D/YY | | | | | | | | NAME OF BROKER-DEALER: Alderman & Company Capital, LLC | | | | | ADDRESS OF PRI<br>CIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | | | | | | (No. and Street) | | | | | CT | | 06810 | | | (State) | | (Zip Code) | | | | | | | | | | (Area Code -Telephone Number) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 06824 | | | | | (Zip Code} | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Knight Rolleri Sheppard CPAS, LLP<br>Fairfield<br>(City) | AND ENDI<br>A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNT ANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first, middle name)<br>CT<br>(State)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | | *\*Claims for exemption from the requirement that the…Read the full text as markdown