Full text of GEMINI CAPITAL L.L.C.'s X-17A-5 filed 2024-03-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2023 {1}------------------------------------------------ ### STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31 , 2023 # CONTENTS | | Page | |------------------------------------------------------------------------------------------------|------| | Facing Page | 1 | | Oath or Affirmation | 2 | | Report of Independent Registered Public Accounting Firm on<br>Statement of Financial Condition | 3 | | Statement of Financial Condition | 4 | | Notes to Statement of Financial Condition | 5-6 | {2}------------------------------------------------ **UNITED STATES SECURmES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-50996 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING January 1, 2023 AND ENDING December 31 , 2023 MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIRCATION** NAME oF FIRM: Gemini Capital, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 111 W. Jackson Blvd., #2220 (No. and Street) Chicago Illinois (City) (State) **PERSON** TO CONTACT WITH REGARD TO THIS FILING 60604 (Zip Code) Steven Tu men (84 7) 867-2229 stumen@gemini-capital.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• Jesser, Ravid, Jason, Basso and Farber, LLP (Name - If individual, state last, first, and middle name) 230 W. Monroe Street, Suite 2300 Chicago Illinois 60606 **(Address)** (City) (State) (Zip Code) 11/05/2003 851 PCAOB Re stratlon Number, if a licable **FOR OFFIOAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent publk: 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 to respond to the collection of Information contained…Read the full text as markdown