Full text of CAPELLA SECURITIES LLC's X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2020 {1}------------------------------------------------ | 11 Broadway, Suite 700<br>(Address)<br>CHECKONF; | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLlCACCOUNTANT whose opinion is contained in this Report*<br>YSL & Associates<br>(Name -- if individual, state last, first, middle name)<br>New York<br>NY<br>(City)<br>(State) | 10004<br>(Zip Code) | |--------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | (Area Code -- Telephone No.) | | Kathy Efrem | NAMEANDTELEPHONENUMBEROF PERSONTOCONTACTINREGARD TOTHJSREPORT | 212-897-1686 | | (City) | (::ilate) | (Zip Code) | | New York | NY | 10004 | | | 42 Broadway, Suite 12-129 | | | ADDRESS OF PRINCIPAL PLACE OF BUSINF.SS: (Do not use P.O. Box No.) | | FlRM ID. NO. | | Capella Securities LLC | | OFFICTAL USE ONLY | | NAME OF BROKER-DEALER: | | | | | A. REGISTRANT IDENTIFICATION | | | | MM/DD IYY | MM/DDIYY | | REPORT FOR THE PERIOD BEGrNNING | 1/1/2020<br>AND ENDING<br>~~~~~~~~~~~~ | 12/31/2020<br>-~~~~~~~~~- | | | Infonnation Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | FACING PAGE | | | | PART Ill | | | | FORM X-17 A-5 | 8-<br>69626 | | | ANNUAL AUDITED REPORT | SEC FILE NUtv'BER | | | Washington, U.C 20549 | Estirrated average burden<br>hours per response 12.00 | | | SECURfIIES AND EXCHANGECOMMISSION | Expires: October 31, 2023 | | | UNITFD STA TES | Otv'B NJrrber:<br>3235-0123 | *mus/ be suppon ed by a statement of/acts and circumstances relied on as the basis for the exemption. See section 240.l 7a-5(e)(2).* SEC 1410(06-02) *Pote11tial perso11s who are lo respond lo the collectio11 of i1ifor111ation contained i11 tliisfor111 are 1101 required to respond 1111/ess tl1efor111 displays a c11rre11tly 1>alid OMB co11trol 1111111ber.* {2}------------------------------------------------ ### **AFFIRMATION** I, Kathy Efrem, affirm that, to the best of my knowledge and belief. the accompanying financial statements and supplemental schedules pertaining to Capella Securities, LLC for year ended D…Read the full text as markdown