Full text of UCAP SECURITIES LLC's X-17A-5 filed 2021-03-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### FINANCIAL STATEMENT For the Year Ended December 31, 2020 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden Hours per response 12.00 | ANNUAL AUDITED REPORT | |-----------------------| | FORM X-17A-5 | | PARTIII | | | SEC FILE NUMBER | |----|-----------------| | | | | 8- | 69543 | #### **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 | ----------<br>01/01/2020 | AND<br>ENDING | 12/31/2020 | |--------------------------------------------------------------------------|------------------------------|---------------|--------------------------------| | | MMIDDNY | | MMIDDNY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | UCAP Securities LLC | | | FIRM I.D. NO. | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 275 Madison Avenue, Floor 38 | | | | | | (No. and Street) | | | | New York | NY | | 10016 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | David Wasitowski | | | 646-809-3600 | | | | | (Area Code - Telephone Nwnbcr) | | | B. ACCOUNTANT IDENTIFCATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Monroe J Chalmers CPA, PC | | | | | (Name - if individual, state last, first, middle name) | | | | | 2 Hartsdale St. | St. James | NY | 11780 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | IZ!<br>Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D<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 240.17a-5(e)(2).* SEC 141 0 (06-02) **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** {2}----…Read the full text as markdown