Full text of GEORGE K. BAUM CAPITAL ADVISORS, INC.'s X-17A-5/A filed 2020-01-02 (period 2019-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGECOMNilSSION Wllshington , D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours oer response .. .. .. 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | | | 8-68927 | FACING PAGE Information Required of Brol<ers and Dealers Pursuant to Section 17 of the Secu rities Exchange Act of 1934 and Rule I 7a-5 Thereunder | REPORT FOR TIIE PERIOD BEGINNING 11/01/2018 | | AND ENDING 10/31/2019 | | | | |-------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|--------------------------------------------------|-------------------|--| | | --------<br>--<br>-<br>M M 1)0 YY | | MM/DD YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: George K. Baum Capital Advisors, Inc. | | | OFFICIAL USE ONLY | | | ADDRESS OF PRfNCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>Plaza Colonnade, 4801 Main Street, Suite 520 | | | | FIRM 1.0. NO. | | | | (No. and Str:cl) | | | | | | Kansas City | Missouri | | 64112 | | | | (City) | (State ) | | (Zip Code) | | | | Dana L. BJOfOSOn, VP & Treasurer | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 816-474-1100<br>(Arca Code - Tck1>hon< !':umber) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | BKD, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Nam, - if i11dind11al, s/(lle las/, fir\$1, middle 110111e) | | | | | | | 1201 Walnut Street, Suite 1700 Kansas City | | Missouri | 64106 | | | (Address) | (City) | (State) | | (Zip C'ock> | | | CHECK ONE:<br>! ./' J<br>Cenified Public Accountant<br>Public Accountant<br>D<br>D | Accounrant nol n:~idt:nt in United States or any or its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exe111ptio11.from 1he require111e1111ha11he am111al report* b<' *covered* bv *1he opi11io11 of a11 independent public t1cco11111t1111 11111s1 be supported by a s/a/emenl offacls and circ11111slc111ces relied 011 as the basis for 1/ie exe111plio11. See Sec1ion 240.* / *7(1 -5(e)( l )* > Potential persons who are to respond to the collection of information contained…Read the full text as markdown