Full text of PREVAIL CAPITAL LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED TATES ECURITIE AND EXCHANGECOMMJSSION Wa hington,** *D.C.* **20549** | | 0MB APPROVAL | | | | |---------------------------|------------------|--|--|--| | 0MB Number: | 3235-0123 | | | | | Expires: | August 31 , 2020 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER 8-67378 # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART** Ill **FACING PAG E** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | | R PORT FOR THE PERIOD BEG INNING<br>____ :. O,_,_ l/-=- 0 .:: 1/_.,_, 19'---__ A D EN DING<br>MMroDNY | | ___ _!=12e: /3'-'-l'-'/1~9 ___ _<br>MM/DDNY | | |---------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|--------------|---------------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | Prevail<br>Capital<br>LLC<br>AM E OF BROKER-DEALER:<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY<br>FIRM 1.0. NO. | | | | | | | | | | Collier<br>Center<br>Wa<br>(No. and Street) | Suite<br>104 | | | | Na I | F | | | | | (City) | (Slate) | | (Zip Code) | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Michael<br>Cagliaoese<br>CPA | (Name - ,j i11divtdua/, state last, first, middle name) | | | | | 125<br>E<br>Lake<br>Street<br>#303 | Bloomingdale | IL | 60108 | | | (Addres ) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>Certified Public Accountant<br>■<br>Public Accountant<br>□<br>□ Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | *\*Claims fo r exemplionfrom !he requiremenl Iha! !he annual reporl be covered by the opinion of an independenl public accounlanl mus/ be supporled by a sla/emenl of facls and circums/ances relied on as !he basis for !he exemplion. See Section 240.17a-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 0MB control number. SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Lisa Hulme swea r (or affirm) that, to…Read the full text as markdown