Full text of UCAP SECURITIES LLC's X-17A-5 filed 2023-03-07 (period 2022-12-31). 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, 2022 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-S PART Ill** SEC FILE NUMBER 8-69543 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | __<br>____<br>0_l/_0_l/_22 | AND ENDING | __ | ___<br>_<br>12_/_3_1/_22 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------| | | MM/DD/VY | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | UCAP Securities LLC<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>I&] Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1221 Brickell Avenue, Suite 2040 | | | | | | | (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@ucapamericas.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>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 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | accountant must be supported by a statement of facts and circumstances rel…Read the full text as markdown