Full text of APPLIED CAPITAL, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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 OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART Ill | SEC FILE NUMBER | |-----------------| | 8-69199 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FORTHEPERIODBEGINNING 1/1/21 AND ENDING 12/31 /21 ~~~~~~~~- MM/DD/YY MM/DD/ Y Y A. REGISTRANT IDENTIFICATION # NAME OF FIRM: APPLIED CAPITAL, LLC TYPE OF REGISTRANT (check al l applicable boxes): l!i!!ii Broker-dealer D Security-based swap dealer D Major security-based swap participant 0 Check here if respondent is also an OlC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # One Indiana Square, Suite 2252 | lnianapolis<br>IN<br>(State)<br>PERSON TO CONTACT W ITH REGARD TO THIS FILING<br>888-580-2588 | | 46204<br>(Zip Code)<br>lheger@fnex.com | |-----------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | (Area Code -Telephone Number) | (Email Address) | | | | | | | | | | | | IN | 46240 | | (City) | (State) | (Zip Code) | | | 2804 | | | | | | | of ,,.;,tcofoo w;th PCAOB )(ff oppl;oobl•I | | | | | B. ACCOUNTANT IDENTIFICATION<br>KATZ, SAPPER & MILLER<br>800 EAST 96TH ST., SUITE 500 INDIANAPOLIS | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | \*Claims 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 240.17a-5(e)(1)(ii), if applicable. 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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | I, Loren Heger | swear (or affirm} that, to the best of my knowledge and belief, the | |---------------------------------------…Read the full text as markdown