Full text of K CAPITAL LLC's X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** | OMB APPROVAL________ | | | | | |--------------------------|--|-----------------|--|--| | OMB Number: | | 3235-0123 | | | | Expires: | | October 31,2023 | | | | Estimated average burden | | | | | | hours per response12.00 | | | | | | | | | | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | | | s-067884 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | 01/01/2020_________<br>REPORT<br>THE<br>PERIOD<br>BEGINNING<br>FOR | | 12/31/2020__________<br>AND ENDING | | | |-------------------------------------------------------------------------------------------------|-----------------------------------------------|---------------------------------------------------------|-----------------------------------|--| | | MMDD'YY | | MM DD Y Y | | | A. | REGISTRANT<br>IDENTIFICATION | | | | | Capital<br>K<br>LLC<br>NAME<br>OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | ADDRESS<br>OF<br>PRINCIPAL<br>PLACE<br>OF<br>BUSINESS:<br>(Do<br>not<br>use<br>P.O. Box<br>No.) | | | FIRM I.D. NO. | | | Third<br>Avenue,<br>Floor<br>805<br>14 | | | | | | | (No. and Street) | | | | | York<br>New | NY | 10022 | | | | (City) | (Stale) | (Zip Code) | | | | NAME<br>AND<br>TELEPHONE<br>NUMBER<br>OF<br>PERSON<br>Michael Brown | TO<br>CONTACT | IN REGARD<br>TO<br>THIS<br>REPORT<br>404-303-6840 x1005 | | | | | | | (Area Code -<br>Telephone Number) | | | B. | ACCOUNTANT<br>IDENTIFICATION | | | | | Spicer<br>Jeffries<br>LLP | ifindividual,<br>(Name | state last, first, middle name) | | | | 700<br>PTC<br>Blvd.,<br>Suite<br>4601 | Denver | CO | 80237 | | | (Address) | (City) | (Slate) | (Zip Code) | | | CHECK<br>ONE: | | | | | | Certified<br>Public<br>Accountant | | | | | | Public<br>Accountant | | | | | | resident<br>Accountant<br>not<br>United<br>in | or<br>any of<br>States<br>its<br>possessions. | | | | | OFFICIAL<br>FOR | USEONLY | | | | | | | | | | | | | | | | | | | | | | *must be supported by a statement offacts and circumstances relied on as the basisfor the exemption. 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 unlessthe form displays a currently valid OMB control number.** SEC 1410 (11-05) {1}----------------------…Read the full text as markdown