Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2020-05-29 (period 2020-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # North Capital Private Securities Corporation (SEC ID No. 8-68648) Annual Audit Report March 31, 2020 {1}------------------------------------------------ UNITEDSTATES St:CURJTIFSAND EXCHANGE COMMISSION Wuhlngton, D.C. 20549 0MB APPROVAL 0MB Number. 3235-0123 Expires: August 31, 2020 Estimated average burden hours rres nse ...... 12.00 # **ANNUAL** AUDITED REPORT FORM **X-17A-5** PARTIII | SEC ALE NUMBER | | |----------------|--| | 8-68648 | | # 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 | ----------<br>04/0l/20l9 | AND ENDING | | ----------<br>03/31/2020 | |------------------------------------------------------------------------------------------|---------------------------------------------------------------------|------------------------------------|--------------|---------------------------------| | | MM/DO/YV | | | MM/DD/YV | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: North Capital Private Securities Corporation | | OFFICIAL USE ONLY<br>FIRM 1.0. NO. | | | | ADDRESS OF PRlNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 623 E Fon Union Blvd., Suite 101 | | | | | | | (No and Street) | | | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>James P. Dowd | | | 415-315-9916 | | | | | | | (Ar-ca Code - Telephone Number) | | | B. ACCOUNT ANT IDENTIFICATION | | | | | fNDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report• | | | | | | Haynie & Company | | | | | | | (Name - if individual, statt last, first, middle name} | | | | | 1785 West 2320 South | Salt Lake City | UT | | 84119 | | (Address) | (City) | (Stale) | | (Zip Code) | | CH ECK ONE: | | | | | | ✓ jcertified Public Accountant<br>Public Accountant | | | | | | | Accountant not resident in United States or any of its 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. 17a-5(e)(2)* > Potentlal persona who are to respond to the collection of Information contained In this form are not required to respond unless the form…Read the full text as markdown