Full text of APPLIED CAPITAL, LLC's X-17A-5 filed 2020-02-25 (period 2019-12-31). 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 OMB APPROVAL OMS Number: 3235·0123 Expires: August 31, 2020 Estimated average burden hours\_peJ response ..... . 12.00 SEC FILE NUMBER B-69199 # ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange A,ct of 1934 and Rule 17a-5 Thereunder | | REPORT FOR THE PERIOD BEGINNING 01/01/19 | | AND ENDING 12/31/19 | ·------------------- | |-------------------------------------------------------------------|--------------------------------------------------------------------------|--------------------------------------------------------|---------------------|---------------------------------| | | | MM/00/YY | | MM/00/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: APPLIED CAPITAL, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | One Indiana Square, Suite 2252 | | | | | | | (No. nnd Screec) | | | | | INDIANAPOLIS | IN | | 46204 | | | (City) | (State) | | (Zip Code) | | Loron Heger | NAME AND TELEPHONE. NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | 888·580-2588 | | | | | | (Aren CClde - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | KATZ, SAPPER & MILLER | | | | | | | | (Nome- if ludividual. state last, first, middle JJame) | | | | | 800 EAST 96TH ST., SUITE 500 INDIANAPOLIS | | IN | 46240 | | (Address) | | (City) | (State) | (Zip Code) | | CHECK O NE: | | | | | | l.f I | certified Public Accountant | | | | | | Public Accountant | | | | | B | 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 statemellt of fac/s and circumstances relied* Of/ *as tlze basis for the exemption. See Section 240.1 7a-5(e)(2)* > Potential persons who are to respond to the collection of Information contained In this form are not required to re.spond unless the form displays a currently valiid OMB control number. SEC 1410 (06-02) {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, Loren…Read the full text as markdown