Full text of CAIS CAPITAL LLC's X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **CAIS** ·capital, LLC Statement of Financial Condition December 31, 2019 · {1}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill ·** | 0MB APPROVAL | | |--------------------------|-----------------------------| | 0MB Number: | 3235-0123 | | Expires: | August 31 , 2020 | | Estimated average burden | | | | hours per response . 12.00 | # SEC FILE NUMBER 8-68646 **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/19<br>AND ENDING 12/31/19 | | | ---<br>---- | | |------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------|-------------------|--------------------------------|--| | | MM/DD/YY | | -<br>-<br>-<br>-<br>MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: CAIS Capital, LLC<br>· ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No .) | | OFFICIAL USE ONLY | | | | | | | FIRM 1.0. NO. | | | 527 Madison Avenue, FL 2 | | | | | | | (No. and Street) | | | | | New York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | Timothy Shanno~ | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 212-201-2327 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | Lilling & Company LLP | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | (Name - if individual, state last, first, middle name) | | | | | 2 Seaview Boulevard | Port Washington | NY | 11050 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I/' I<br>certified Public Accountant<br>B<br>Public Accountant | | | | | | | Accountant not resident in United States or any of ,ts possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17 a-5 (e)(2)* > **Potential persons who are to respond to the collection of Information contained in thi…Read the full text as markdown