Full text of APPLIED CAPITAL, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | |-----------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|----------------------|----------------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123 | | | | Washington, D.C. 20549 | | Expires: Nov. 30, 2026<br>Estimated average burden | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 8-69199 | | | | PART Ill | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | FILING FOR THE PERIOD BEGINNING 0 1/01 /23 | | AND ENDING 12/31 /23 | | | | | MM/00/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF FIRM: APPLIED CAPITAL, LLC | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | 0 Broker-dealer | D Security-based swap dealer | | D Major security-based swap participant | | | D Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | One Indiana Square, Suite 2252 | | | | | | | (No. and Street) | | | | | | | | | | | lnianapolis | IN | | 46204 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Loren Heger | 888-580-2588 | | lheger@fnex.com | | | | | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | KATZ, SAPPER & MILLER | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | 800 EAST 96TH ST., SUITE 500 | INDIANAPOLIS | IN | 46240 | | | (Address) | (City) | (State) | (Zip Code) | | | 11/13/2006 | | 2804 | | | | l"'<br>of R,gl~catloo with PCAOB)(lf appllcabl,J | | | IPCAOB Reg;st,atloo N"mbo,, If appllcabl•I | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | CFR 240.17a-S(e)(l)(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 0MB control number. {1}------------------------------------------------ #### OATH OR **AFFIRMATION** | I, | Loren Heger |…Read the full text as markdown