Full text of UCAP SECURITIES LLC's X-17A-5 filed 2022-03-16 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### STATEMENT OF FINANCIAL CONDITION For the Year Ended December 31, 2021 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: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | | | ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-69543 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ----------<br>01/01/21 | AND ENDING | -----------<br>12/31/21 | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|------------------------------------------| | | MM/DD/ Y Y | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | UCAP Securities LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>!Kl Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | D Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 1200 Brickell Avenue, Suite 501 | | | | | | (No. and Street) | | | | Miami | FL | | 33131 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Juan Massens | 786-5 5 8-1207 | | jmassens@ucapasset.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Knight Rolleri Sheppard, CPAS, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 2150 Post Road, 5th Floor | Fairfield | CT | 06824 | | (Address) | (City) | (State) | (Zip Code) | | 03/04/2009 | | 3437 | I | | | | | (PCAOB R,g;st,aUoo N,mbe,, ;f appUcable) | | | FOR OFFICIAL USIE ONLY | | | \* 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-S(e)(l)(ii), if…Read the full text as markdown