Full text of POWELL CAPITAL MARKETS, INC.'s X-17A-5 filed 2019-12-30 (period 2019-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition September 30, 2019 {1}------------------------------------------------ UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0 I 23 Expires: August 31, 2020 Estimated average burden hours per response ... 12.00 8-48790 SEC FILE NUMBER ### **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | __<br>____<br>1~0~/0~l~/1~8 | AND ENDING | 9/30/19 | |--------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICA TIO | | | | NAME OF BROKER -<br>DEALER: | | | | | Powell Capital Markets, Inc. | | | OFFIClAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FJRMID.NO. | | | 3 Becker Farm Road<br>(No. and Street) | | | | Roseland | NJ | | 07068 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT JN REGARD TO THIS REPORT | | | | | Arthur F. Powell | | | (973) 740-1230 | | | | | (Area Code -<br>Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Citrin Cooperman & Company, LLP | | | | | (Name - if individual, state last, first, middle name) | | | | 529 5th A venue | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | CHECK 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 annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. 17a-5(e)(2).SEC* 1410 (3-91) {2}------------------------------------------------ # **TABLE OF CONTENTS** ### **This report\*\* contains (check all applicable boxes):** - [x] Report oflndependent Registered Public Accounting Finn. - [x] Facing Page. - [x] Statement of Financial Condition. - [ ] Statement of Operations. - [ ] S…Read the full text as markdown