Full text of GB CAPITAL MARKETS, INC.'s X-17A-5 filed 2021-02-25 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ GB Capital Markets, Inc. (a wholly-owned subsidiary of GB Capital Markets, LLC) Statement of Financial Condition Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31 , 2020 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMD APPJlOVAL OMB Number: 3235-0123 Expires: October 3 I, 2023 Estimated average burden hours per response ... 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART ID ### FACING PAGE In fo rmation Required of Brokers a nd Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | MM/DD/YY | ~~O~l/~01~2~0~~~ANDENDING | 12/3<br>1/20<br>MM/DD/VY | | |--------------------------------------------------------------------------|----------------------------------------------------------------------------|---------------------------|--------------------------------|--| | | A. REGISTRANT IDENTIFJCA TION | | | | | NAME OF BROKER -<br>DEALER: | | | | | | GB Capital Markets, Inc. | | | OFFICIAL USE ONLY | | | | | | FIRM ID. NO. | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 4 75 Springfield A venue. Suite 30 I | | | | | | (No. and Street) | | | | | Summit | NJ | | 07901 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | Shari Rothenberg | | | (908) 743-<br>1307 | | | | | | (Area Code -<br>Telephone No.) | | | | | | | | | B. ACCO | | UNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | | | | YSL & Associates<br>(Name - if individual, state last, first, middle name) | | | | | | | | | | | 11 Broadway, Suite 700<br>(Address) | New York<br>(City) | NY<br>(State) | 10004<br>(Zip Code) | | | | | | | | | C HECK ONE: | | | | | | ~ Certified Public Accountant | | | | | | D<br>Public Accountant | | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *\*Claims for exemption.from the requirement that the a111111al report be covered by the opinion of an independent p11b/i,· acco1111ta/1f must be supported by a statement of facts and circ11111sta11ces relied* 011 *as the basis/or the exemption. See section 240. I 7a-5(e){2).SEC* 1410 (3-9 1) SEC FILE NUMBER 8-41854 | Summit…Read the full text as markdown