Full text of STRATCAP SECURITIES, LLC's X-17A-5 filed 2024-03-08 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **StratCap Securities, LLC** **(SEC I.D. No. 8-68338)** **Financial Statements and Supplementary Information As of and for the year ended December 31, 2023** {1}------------------------------------------------ | Facing page to form X-17A-5 1 | | |-----------------------------------------------------------|--| | Affirmation of Officer 2 | | | Report of Independent Registered Public Accounting Firm 3 | | | Financial Statements | | | Statement of Financial Condition 4 | | | Notes to Financial Statements 5-9 | | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB .O.PPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68338 **FACING PAGE Information Required Pursuanto Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_ 0 \_ 1 \_I0\_1 \_ 12 \_3 \_\_\_\_\_ AND ENDING \_ 1 \_ 21 \_3 \_1 \_1 \_ 2\_ 3 \_\_\_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: StratCap Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 3101 West Coast Highway, Suite 140 (No. and Street) Newport Beach CA (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 92663 (Zip Code) James Condon 657-383-9648 jcondon@stratcapsecurities.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* BOO USA, P.C. (Name - if individual, state last, first, and middle name) 200 Park Avenue, 38th Floor New York NY (Address) 10/08/2003 (City) (State) 243 10166 (Zi~ Code) r• **of Reg;'"''°" w;<h PCAOB)(;f applkableJ FOR OFFICIAL USE ONLY (PCAOBRegJ,traUoo Nomb,c,** ff **appn~••I** I \* 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(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained** in **this form are not requir…Read the full text as markdown