Full text of STONEGATE CAPITAL MARKETS, INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED OMB APPROVAL STATES SECURITIES AND EXCHANGE COMMISSION Washington,D.C 20549** | OMB Number: 3235-0123 | |---------------------------| | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | ## **ANNUAL REPORTS FORM X-17A-5 PART III** | SEC FILE NUMBER | | |-----------------|--| | 8-17359 | | **FACING PAGE** **Information Required Pursuant to Rules <sup>17</sup>a-5,17a-12,and <sup>18</sup>a-<sup>7</sup> under the Securities Exchange Act of <sup>1934</sup>** | FILING FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | |--------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------|-------------------------------|-------------------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | Stonegate<br>NAME OF FIRM: | Capital<br>Markets,<br>Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable<br>Sfl<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | boxes):<br>Security-based swap dealer | | Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: | (Do not use a P.O. | box no.) | | | | | | 8201<br>Preston<br>Road,<br>Suite | 325 | | | | | | | | (No.and Street) | | | | | | | Dallas | TX | | 75225 | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO | THIS FILING | | | | | | | Marco<br>Rodriguez | 214-987-4121<br>marco@stonegateinc | | .com | | | | | (Name) | (Area Code — Telephone Number)<br>(Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports | | | | | | | | McBee<br>Co<br>& | | are contained in this filing* | | | | | | ., PC | | | | | | | | 716<br>Paulus<br>Avenue | (Name-if individual,state last,first,and middle name) | | | | | | | | Dallas | TX | 75214 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | 9/22/2009 | | 3631 | | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number,if applicable) | | | | | | 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 <sup>a</sup> statement of facts and circumstances relied…Read the full text as markdown