Full text of NORTH CAPITAL PRIVATE SECURITIES CORPORATION's X-17A-5 filed 2026-06-01 (period 2026-03-31). 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, 2026** {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS FORM X-17A-S PART Ill** 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 o4to1t | 25 | 31126<br>AND ENDING 03l | |---------------------------------------------------------------------|----------------------------------------------------------------------------------------------|-----------------------------------------| | | ---------<br>MM/00/YY | ----------<br>MM/00/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: North Capital Private Securities Corporation | | | TYPE OF REGISTRANT (check all applicable boxes):<br>■ Broker-dealer | □ Security-based swap dealer<br>□ 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.O. box no.) | | | 623 EFT Union Blvd., Suite 101 | | | | | {No. and Street) | | | Salt Lake City | UT | 84047 | | (State)<br>(City) | | (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) | (City) | (State) | (Zip Code) | | 10/20/2003 | | 457 | | | (Date of Rellistration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if apolicable) | | | FOR OFFICIAL USE ONL V | | | | | | | | | | | | | • daims 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…Read the full text as markdown