Full text of QUALIS CAPITAL, LLC's X-17A-5/A filed 2022-04-12 (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 | | SEC FILE NUMBER | |--|-----------------| | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |----------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------|-----------------------------------------|-----------------|----------------------------------------------| | FILING FOR THE PERIOD BEGINNING | ----------<br>Ol/Ol/202l | AND ENDING | 12/31/2021 | ---------- | | | MM/DD/VY | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: __<br>Q_u_al_is_C_a_p_it_al_,_L_L_C | ___________________ | | | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>121! 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.) | | | | | | One Rockefeller Plaza STE 1640 | | | | | | | (No. and Street) | | | | | New York | NY | | 10020 | | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Estee Dorfman | 781-780-7069 ext 11 | | | estee@dorfman-finop.com | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Cree Alessandri & Strauss CPA LCC | | | | | | | {Name-if individual, state last, first, and middle name) | | | | | 20 Walnut Street STE 301 | Wellesley Hills | | MA | 02481 | | (Address)<br>10/30/2018 | (City) | 6566 | (State) | (Zip Code) | | (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…Read the full text as markdown