Full text of STONEGATE CAPITAL MARKETS, INC.'s X-17A-5 filed 2023-02-24 (period 2022-12-31). 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** ## **ANNUAL REPORTS** # **FORM X-17A-5** ### **PART III** | OMB Number: 323S-O123<br>Expires: Oct. 31, 2023 | | |-------------------------------------------------|--| | Estimated average burden | | | hours per response:<br>12 | | | SEC FILE NUMBER | | | 8-17359 | | QMB approval #### **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** n1/01/9099 19/31/9099 FILING FOR THE PERIOD BEGINNING AND ENDING MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** name of firm- Stonegate Capital Markets, Inc. TYPE OF REGISTRANT (check all applicable boxes): XI Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | Crescent<br>500 | Court, | 370<br>Suite | | |--------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|-----------------|--------------|--| | | (No. and Street) | | | | | Dallas | TX | | 75201 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Griffith<br>Scott | 214-987-4121<br>scott@stonegateinc.com | | | | | (Name) | (Area Code -Telephone<br>Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Co.,<br>McBee<br>PC<br>& | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this<br>(Name -if<br>individual, state last, first, and middle name) | | | | | 718<br>Paulus<br>Avenue | Dallas | TX | 75214 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/22/2009 | | 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 a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. Persons who are torespond to the collection of information containedinthis form are not required torespond unless the form displays a currently valid OMB control number. {1}-----------------------------…Read the full text as markdown