Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2022-05-31 (period 2022-03-31). 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, 2022 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. **20549** | 0MB APPROVAL | |---------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | | # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 8-68648 **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>___<br>0_4/_0_l /_20_2_1 | AND ENDING __ | __<br>_<br>0_3_/_3 l_/2_0_2_2 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------|---------------|--------------------------------------------|--|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: | North Capital Private Securities Corporation | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>IK1 Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 623 E FT Union Blvd., Suite IO I | | | | | | | | | | (No. and Street) | | | | | | | | Salt Lake City | UT | | 84047 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | James P. Dowd | 415-315-9916<br>jdowd@northcapital.com | | | | | | | | (Name) | (Area Code - Telephone Number)<br>(Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Haynie & Company | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 1785 West 2320 South | Salt Lake City | UT | 84119 | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | 10/20/2003 | | 457 | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Nu…Read the full text as markdown