Full text of UCAP SECURITIES LLC's X-17A-5 filed 2025-03-12 (period 2024-12-31). 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, 2024 With Report of Independent Registered Public AccountingFirm** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL REPORTS | | | | |----------------|--|--|--| | FORM X-17A-5 | | | | | PART Ill | | | | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-69543 **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_ 0 \_ 1 \_J0\_1 \_ 1 \_ 2 \_ 4 \_\_\_\_\_ AND ENDING \_ 1 \_ 2 \_ 13 \_ 1 \_ 12 \_4 \_\_\_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** UCAP Securities LLC NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ 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.) 1221 Brickell Avenue, Suite 2040 (No. and Street) Miami FL (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 33131 (Zip Code) Juan Massens 786-558-1207 jmassens@ucapamericas.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Rolleri Shepperd, CPAS, LLP (Name - if individual, state last, first, and middle name) 2150 Post Road, 5th Floor (Address) 03/04/2009 Fairfield (City) CT (State) 3437 06824 (Zip Code) **rte of Reg;m,1100 w;th PCAOB)0f appUcablel FOR OFFICIAL USE ONLY {PCAOB R,g;stcatloa N,mbe,,** ;f **appHcable)** I \* 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 ofthe exemption. See 17 CFR 240.17a-S(el(ll(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.** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Juan Massens swear (or affirm) that, to the best of my knowledge and belief, the financial report p…Read the full text as markdown