Full text of CAPELLA SECURITIES LLC's X-17A-5 filed 2022-03-25 (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 December 31, 2021 {1}------------------------------------------------ # **UNITED ST ATES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB Number: 3235·0123 | |--------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | SEC FILE NUMER 8- 69526 **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 **01 /01 /21** MM/DDNY AND ENDING **12/31 /21** ---------- MM/DD *NY* **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: \_\_\_ C\_a\_p\_e\_ll\_a\_S\_e\_c\_u\_ri\_tie\_s\_ L\_LC \_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): ~ 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.) # 42 Broadway, Suite 12-129 | NY | 10004 | |---------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | (State) | (Zip Code) | | | | | | kefrem@integrated .solutions | | | (Email Address) | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>(212) 897-1686<br>(Area Code - Telephone Number)<br>B. ACCOUNT ANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | # YSL & Associates | | (Name - if individual, state last, first, and middle name) | | | |--------------------------------------------------|------------------------------------------------------------|---------|-------------------------------------------| | 11 Broadway, Suite 700 | New York | NY | 10004 | | (Address) | (City) | (State) | (Zip Code) | | | | 2699 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, ifapplicable) | #### **FOR OFFICIAL USE 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. l 7a-5(e)(l )(ii), if applicable. Persons who are to respond to the collection of informati…Read the full text as markdown