Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2025-05-29 (period 2025-03-31). 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, 2025** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. **20549** > **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-S, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 0 4 /01 / 24 AND ENDING 03131125 --------- ---------- MM/DD /Y Y MM/DO/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: North Capital Private Securities Corporation TYPE OF REGISTRANT (check all applicable boxes): [!) Broker-:-dealer D Security-based swap dealer D Major security-based swap participant □ 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 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 84047 (Zip Code) 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 1785 West 2320 South (Address) 10/20/2003 (Name- if individual, state last, first, and middle name) Salt Lake City (City) 457 UT (State) 84119 (Zip Code) (rt• of Registration with PCAOB)(if applicable) **FOR OFFICIAL USE ONLY** (PCAOB Registration 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 Persons who are to respond to the collection of information contained in this form are not required to respond unless the form CFR 240.17a-S(e)(l)(ii), if applicable. displays a currently valid 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, James P. Dowd | swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------|---------------------------------------------------------------------|--| | | | | financial report pertaining to the firm of North Capital Private S…Read the full text as markdown