Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2021-06-01 (period 2021-03-31). 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, 2021** {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington,D.C.** 20549 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | 0MB APPROVAL | | |--------------------------|--------------|-----------------------------| | OMBNumber: | | 3235-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | | | hours per response . 12.00 | | SEC FILE 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>04/01/2020 | ---<br>AND ENDING | -----------<br>03/31/2021 | |------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-------------------|--------------------------------| | | -<br>MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: North Capital Private Securities Corporation | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 623 EFT Union Blvd., Suite 101 | | | | | | (No. and Street) | | | | Salt Lake City | Utah | | 84047 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>James P. Dowd | | | 415-315-9916 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Haynie & Company | | | | | | (Name - if individual, state last. first. middle name) | | | | 1785 West 2320 South | Salt Lake City | | 84119 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | 0certified Public Accountant | | | | | 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)* > **Potential persons who are to respond to…Read the full text as markdown