Full text of RACE ROCK CAPITAL LLC's X-17A-5 filed 2022-02-09 (period 2021-12-31). 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-17A-5 | | | | | PART III | | | | OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68528 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING<br>1/1/2021<br>MM/DD/YY | | | | AND ENDING 12/31/2021<br>MM/DD/YY | | | |--------------------------------------------------------------------------|--|------------------------------------------------------------|----------------------------------------|-----------------------------------|--------------------------------------------|--| | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: RACE ROCK CAPITAL LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | X Broker-dealer | | | □Major security-based swap participant | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 7 WAINWRIGHT ROAD, UNIT #99 | | | | | | | | | | (No. and Street) | | | | | | WINCHIESTER | | | MA | | 01890 | | | (City) | | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | KIMBERLY NEELY | | 978-270-5055 | | kimberlyneely22@gmail.com | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | | | | | | | | | | | | MICHAEL T. REMUS CPA | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | | | PO BOX 2555 | | HAMILTON SQUARE | | NI | 08690 | | | (Address) | | (City) | | (State) | (Zip Code) | | | 02/23/10 | | | | 3598 | | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | 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}------------------------------------------------ #### OATH OR AFFIRMATION I, - CR BARTELS JR swear (or affirm) that, to the best of my knowledge and belief, the financial report pertain…Read the full text as markdown