Full text of STONEGATE CAPITAL MARKETS, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** OMB APPROVAL 0MB Number. 3235-0123 Expires: August 31,2020 Estimated average burden # hoursperresponse 12.00 **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | SEC FILE NUMBER | |-----------------| | s-17359 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section <sup>17</sup> of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 12/31/2020<br>01/1/2020<br>AND ENDING | | | | |--------------------------------------------------------------------------|---------------------------------------------------------------------|------------|-------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | A. | IDENTIFICATION<br>REGISTRANT | | | | | NAME OF BROKER-DEALER: Stonegate<br>Capital<br>Markets<br>Inc<br>, | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | Suite<br>Preston<br>Road,<br>325<br>8201 | | | | | | | (No. and Street) | | | | | Dallas | TX | 75225 | | | | (City) | (State) | (Zip Code) | | | | NAME AND TELEPHONE<br>Ivtarco<br>Rodriguez | NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | 214-987-4121 | | | | | | (Area Code -Telephone Number) | | | B. | IDENTIFICATION<br>ACCOUNTANT | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | PC<br>McBee<br>&<br>Co<br>., | 4 | | | | | | (Name -if individual, state last, first, middle name ) | | | | | Paulus<br>Avenue<br>718 | Dallas | TX | 75214 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | /<br>Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | \**Claims for exemption from the requirement that the annual repor<sup>t</sup> be covered by the opinion of an independent public accountant must be supported by <sup>a</sup> 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 informationcontainedinthisformarenotrequired to respond SEC <sup>1410</sup> (11-05) unlesstheformdisplays <sup>a</sup> currently validOMBcontrol number.** {1}------------------------------------------------ #### **OATH OR A…Read the full text as markdown