Full text of CAPITAL SUISSE 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}------------------------------------------------ OMB APPROVAL OMB Number. 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response . ... . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 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 BEGINING | JANUARY 1, 2020 | AND ENDING | DECEMBER 31, 2020 | |----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|-----------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER DEALER: | CAPITAL SUISSE LLC | | OFFICAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 1000 SECOND AVENUE, SUITE 3200 | | | | | (No. and Street) | | | | SEATTLE | WA | | 98104 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS BEPORT | | | 206-617-4525 | | STEFFEN BUSCHBACHER | | | (Area Code - Telephone No.) | | | | | | | | B. ACCOUNTANT DESIGNATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | RW GROUP, LLC | | | | | (Name - if individual, state last, first, middle name) | | | | 400 OLD FORGE LANE, ST 401, KENNETT SQUARE | | PA | 19348 | | (Address and City) | | (State) | (Zip Code) | | CHECK ONE:<br>区 Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its Possessions | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | 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). Potential persons who are to respond to the collection of information contained in this form are required to respond unless the form displays a current valid OMB control number. SEC 1410 (11-05) PUBLIC SEC FILE NUMBER 8-69639 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 {1}------------------------------------------------ # OATH OR AFFIRMATION | 1, | STEFFEN BUSCHBACHER<br>, swear (or affirm) that, to the | |-----------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------…Read the full text as markdown