Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2023-05-30 (period 2023-03-31). 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, 2023 {1}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. **20549** | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART Ill | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-68648 **FACING PAGE** Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | __<br>___ | AND ENDING __ | __ | | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|---------------|------------------------------------|--|--|--|--| | FILING FOR THE PERIOD BEGINNING | 0_4/_0_l /_2_02_2<br>MM/DD/VY | | _<br>0_3_/3_1_/2_0_2_3<br>MM/DO/VY | | | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | North Capital Private Securities Corporation<br>NAME OF FIRM: | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>IK1 Broker-dealer<br>□ Security-based swap dealer<br>□ Major security-based swap participant<br>0 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 101 | | | | | | | | | | (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 | | jdowd@northcapital.com | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Haynie & Company | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 1785 West 2320 South | Salt Lake City | UT | 84119 | | | | | | (Address) | (State) | (Zip Code) | | | | | | | 10/20/2003 | | | 457 | | | | | | (rte of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable) | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | • Claims for exemption from the require…Read the full text as markdown