Full text of NORTH CAPITAL AGENCY BROKERAGE, LLC's X-17A-5 filed 2026-06-24 (period 2026-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **FINANCIAL STATEMENT AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** **Filed Pursuant to Rule 17a-5(e)(3) Under the Securities Exchange Act of 1934 As a public document** **March 31, 2026** {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMBAPPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-71176 | | **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 | 08/13/25<br>AND ENDING<br>----------<br>MM/DD/YY | | 03/31/26 | | | | | | ----------- | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | North Capital Agency Brokerage, LLC<br>NAME OF FIRM: ____________________________ | | | | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>■<br>□ Broker-dealer<br>□ Security-based swap dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 623 E Fort Union Blvd., Suite 101 | | | | | | | {No. and Street) | | | | | Salt Lake City | UT | | | 84047 | | {City) | {State) | | | {Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | James Dowd | 415-336-3660 | | | jdowd@northcapital.com | | {Name) | {Area Code - Telephone Number) | | {Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Jennifer Wray CPA PLLC | | | | | | | {Name - if individual, state last, first, and middle name) | | | | | 800 Bonaventure Way, Suite 168 | Sugar Land | | TX | 77479 | | (Address)<br>11/30/2016 | (City) | 6328 | {State) | (Zip Code) | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | accountant must be suppor…