Full text of QUALIS CAPITAL, LLC's X-17A-5 filed 2022-03-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235~0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** | | SEC FILE NUMBER | | |--|-----------------|--| # **Information Required Pursuant to Rules 17a-5, 17a-12,** and **18a-7** under **the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING Ol/Ol/202l AND ENDING 12/31/2021 ---------- MM/DD/VY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_ Q\_u\_al\_is\_C\_ap\_i\_tal\_,\_L\_L\_C \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): 121! Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) One Rockefeller Plaza STE 1640 (No. and Street) | | B. ACCOUNTANT IDENTIFICATION | | | |---------------|---------------------------------------------------------------------|---------------------------|--| | (Name) | (Area Code-Telephone Number) | (Email Address) | | | Estee Dorfman | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>781-780-7069 ext 11 | estee@dorfman • finop.com | | | (City) | (State) | (Zip Code) | | | New York | NY | 10020 | | | | | | | #### INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Cree Alessandri & Strauss CPA LCC | | (Name-if individual, state last, first, and middle name) | | | | |-------------------------------------------------|----------------------------------------------------------|---------|----------------------------------------------|--| | 20 Walnut Street STE 301 | Wellesley Hills | MA | 02481 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/30/2018 | | 6566 | | | | (rte of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) I | | | | 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 240.17a-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 co…Read the full text as markdown