# ALTACORP CAPITAL (USA) INC. X-17A-5 (2020-06-03) — Broker-dealer annual report - Company: ALTACORP CAPITAL (USA) INC. - Form: X-17A-5 - Filed: 2020-06-03 - Period: 2020-03-31 - Accession: 0001500533-20-000006 - CIK: 1500533 - File #: 8-68692 - Material weakness: No - Auditor: Parnell Kerr Foster of Texas, P.C. - Auditor location: Houston, TX - Contact: Nancy Peck - Phone: 403-539-8602 - Signed by: Nancy Peck (CFO) Original filing: https://www.sec.gov/Archives/edgar/data/1500533/000150053320000006/ACCFinancialCondition_OCR.pdf --- {0}------------------------------------------------ UNITEDSTATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0123 Washington, D.C. 20549 Expires: August 31, 2020 Estimated average burden ## ANNUAL AUDITED REPORT hoursperresponse...... 12.00 FORM X-17A-5 SEC FILE NUMBER FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 173-5 Thereunder | REPORT
FOR
THE
PERIOD
BEGINNING | 04/01/2019 | AND
ENDING
03/31/2020 | | | |----------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------------|-----------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. | REGISTRANT
IDENTIFICATION | | | | | (USA)
OF
BROKER-DEALER:
AltaCorp
Capital
NAME
Inc. | | | OFFICIAL
USE
ONLY | | | ADDRESS
OF
PRINCIPAL
PLACE
OF
BUSINESS: | No.) | NO.
FIFIM
ID. | | | | 410,
585
8th
Ave
SW | | | | | | | (No.
and
Street) | | | | | Calgary | Alberta
_ | | T2P1GI | | | (City) | (State) | (Zip | Code) | | | NAME
AND
TELEPHONE
NUMBER
OF
Peck
Nancy
403—539-8602 | PERSON
TO
CONTACT
IN
REGARD | REPORT
TO
THIS | | | | | | (Area | Number)
Code
Telephone
— | | | B. | IDENTIFICATION
ACCOUNTANT | | | | | | | | | | | | | | | | | PUBLIC
ACCOUNTANT
INDEPENDENT
Parnell
Kerr
Foster
of
Texas, | whose
opinion
is
contained
in
P.C | Report*
this | | | | | (Name
tft'rtdtrtdual.
state
last. first.
— | name)
middle | | | | San
Felipe
St.
Suite
5847 | Houston
2600 | Texas | 77057-3000 | | | (Address) | (City) | (State) | (Zip
Code) | | | CHECK
ONE: | | | | | | | | | | | | : Certiiied
Public
Accountant
Public
Accountant | | | | | | | | | | | | I
Accountant
not
resident
in | United
States
of its
possessions.
orany | | | | \*Clat'msfor exemption from the requirement that the anmzo/ report be covered by the opinion ofah independent pub/to accountant must be supported by a statement offacts and Circumstances reflect on as the bastsfor the exemption. See Section 240.l 7a—5(e) (2) Potential persons who are to respond to the collection of information contained in this form arenot required to respond SEC 1410 ("'05) unlesstheform displaysacurrentlyvalid OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION | Nancy Peck | , swear (or affirm) that, to the best of | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of
AltaCorp Capital (USA) Inc. | , as | | of May 29 | 20 20 , are true and correct. I further swear (or affirm) that | | | neither the company nor any partner, principal officer or director has any proprietary interest in any account | | classified solely as that of a customer, except as follows: | | | | | | | | | | Signature | | | Chief Financial Officer | | Jotary Public | Title | | This report ** contains (check all applicable boxes):
(a) Facing Page.
(b) Statement of Financial Condition.
/ (c) Statement of Income (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement
of Comprehensive Income (as defined in §210.1-02 of Regulation S-X).
(d) Statement of Changes in Financial Condition.
(e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital.
(f) Statement of Changes in Liabilities Subordinated to Claims of Creditors.
(g) Computation of Net Capital.
(h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3.
(i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3.
Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3.
consolidation.
7 (1) An Oath or Affirmation.
(m) A copy of the SIPC Supplemental Report. | (j) A Reconciliation, including appropriate explanation of Net Capital Under Rule 15c3-1 and the
(k) A Reconciliation between the audited Statements of Financial Condition with respect to methods of
(n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. | | ** For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3). | | | | | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.