Full text of TRIBAL CAPITAL MARKETS, LLC's X-17A-5 filed 2021-03-29 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2020 {1}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGECOMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per resconse •.. . . . 12.00 | | SEC FILE NUMBER | |----------|-----------------| | 8- 48460 | | **FACING PAGE** ### **Information Required** of **Brokers** and **Dealers** Pursuant to **Section** 17 of the **Securities Exchange Act of 1934 and Rule 17a-S Thereunder** | REPORT FOR THE PERIOD BEGINNING _<br>_ | 0_1_/_0_1 /_2_0_20 _<br>_ | _<br>AND ENDING _ | _ 1_2_/3_1_/_20_2_0 _<br>_ _<br>_ | | | |-------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-------------------|-----------------------------------|--|--| | | MM/DD/YY | | MMIDD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER•DEALER: Tribal Capital Markets, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | | FIRM 1.D. NO. | | | | 111 S Pineapple Avenue, Suite 619 | | | | | | | | (No. and Street) | | | | | | Sarasota | FL | | 34236 | | | | (City} | (State) | | (Zip Code) | | | | NAME ANO TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Greg Ochojski | | | 732-539-1428 | | | | | (Area Code - Telephone Number) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Sanville & Company | (Name - if individual 1tate last, fi,·st. middle 110111e ) | | | | | | 1514 Old York Road | Abington | PA | 19001 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | !certified Public Accountant<br>ublic Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | *\*Claims/or exemptionfrom the requirement that the annual report he covered by the opinion ofan independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained** in **this form a…Read the full text as markdown