Full text of GRAY OAK CAPITAL, LLC's X-17A-5 filed 2024-03-20 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES ANO EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | hours per response:<br>12 | |---------------------------| | SEC FILE NUMBER | | 8-70014 | | FILING FOR THE PERIOD BEGINNING 01 /01 /23 | | AND ENDING 12/31 /23 | | |---------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------| | | | | | | | MM/DD/YY | | MM/0D/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Gray Oak Capital, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>E!l Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 537 Steamboat Road, Suite 200 | | | | | | (No. and Street) | | | | Greenwich | CT | | 06830 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Mark Halvorsen | (203) 987-0015 | | markh@grayoakcapital.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Rubio CPA, PC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 3500 Lenox Rd, NE Suite 1500 Atlanta | | GA | 30326 | | (Address) | (City) | (State) | (Zip Code) | | 5/5/09 | | 3514 | | | r••<br>of R,glst,atloa wRh PCAOB)(;f appllcabl,J | FOR OFFICIAL USE ONLY | | (PCAOB R,gist,atlaa Numb", If appllcabl,J | \* 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 240.17a•S(e)(l)(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. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Mark Halvorsen | swear (or affirm) that, to t…Read the full text as markdown