Full text of CAPELLA SECURITIES LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CAPELLA SECURITIES LLC # FINANCIAL STATEMENTS # For the year ended December 31, 2019 {1}------------------------------------------------ | | | | OMB APPROVAL | | |--------------------------------------------------------------------------|---------------------------------------------------------------------------|------------|-------------------------------|--| | | UNITED STATES | | OMB Number:<br>3235-0123 | | | | SECURITIES AND EXCHANGE COMMISSION | | Expires: August 30, 2020 | | | | Washington, D.C. 20549 | | Estimated average burden | | | | | | hours per response 12.00 | | | ANNUAL AUDITED REPORT | | | SEC FILE NUMBER | | | | FORM X-17A-5 | | 69526<br>8 - | | | | PART III | | | | | | | | | | | | 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 | 1/1/2019 | AND ENDING | 12/31/2019 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | Capella Securities LLC | | | | | | | | | FIRMID, NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 39 Broadway, Suite 3300<br>(No. and Street) | | | | | New York | NY | | 10006 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | | | | | Kathy Efrem | | | 212-897-1686 | | | | | | (Area Code -- 1 ciepnone No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | YSL & Associates | | | | | | (Name -- if individual, state last, first, middle name } | | | | | 11 Broadway, Suite 700 | New York | NY | 10004 | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | x Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions | | | | | CHECK ONE: | | | | | | | FOR UFFICIAL USE UNLY | | | | | | | | | | 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 1410 (06-02) contained in this form are not required to respond unless the form displays a currently valid OMB control number. {2}------------------------------------------------ ## AFFIR…Read the full text as markdown