Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2024-05-30 (period 2024-03-31). 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, 2024** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, o.c. <sup>20549</sup> > **ANNUAL REPORTS FORM X-17A-5 PART** 111 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > 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 04/01 / 23 AND ENDING 03131124 --------- ---------- MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: North Capital Private Securities Corporation TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P .0. box no.) | | 623 EFT Union Blvd., Suite 101 | | |--|--------------------------------|--| |--|--------------------------------|--| | | (No. and Street) | | | |----------------------------------------------|--------------------------------|------------------------|--| | Salt Lake City | UT | 84047 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | 415-315-9916<br>James P. Dowd | | 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) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 457 | | | (ite<br>of Registration with PCAOB)(if applkable) | FOR OFFICIAL USE ONLY | | (PCAOB ReSlstratlon Number, if applicable) I | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if app…Read the full text as markdown