Full text of LPS CAPITAL LLC's X-17A-5 filed 2021-03-03 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL OMBNumb~ 3B~01B Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 | SEC FILE NUMBER | |-----------------| | B-86706 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING_o_1_1_0 | __<br>_11_2_0 _2_0 _ | _ AND ENDJNG _ | ___<br>_ 1_2_/3_1_/2_0_2_0<br>_<br>MM/DD/YY | | |---------------------------------------------------------------------------|--------------------------------------------------------|----------------|---------------------------------------------|--| | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: LPS Capital LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 150 E.52nd St, Suite 5001 | | | | | | (No . and Street) | | | | | New York | NY | | 10022 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT lN REGARD TO THIS REPORT | John Tarleton<br>(212) 441-3810 | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | BOG-<br>CPAs | | | | | | (Name - if individual, state last. first. middle name) | | | | | 76 N. Walnut St | Ridgewood | NJ | 07450 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I<br>✓<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. 17 a-5 (e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | J, John Tarleton | , swear ( or affi…Read the full text as markdown