Full text of SMI CAPITAL MARKETS LLC's X-17A-5 filed 2024-04-03 (period 2023-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-68794 # **PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **1/1/2023** AND ENDING **12/31 /2023** MM/00/YY MM/00/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: SM I Capital Markets LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 2018 156th Ave NE #100 | | (No. and Street) | | | |------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------| | Bellevue | WA | | 98007 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Dale Garnett | 206.499.0158 | | dale@borealiscapital-llc.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>BF Borgers CPA PC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 5400 W Cedar Avenue | Lakewood | | 80026 | | (Address) | (City) | co<br>(State) | (Zip Code) | | 5/11/2010 | | 5041 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | • 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 to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ ### OATH **OR AFFIRMATION** | I, DALE GARNETT | | | swear (or affirm) that, to the best of my knowledge and belief, the | | | |-----------------|--|--|-------------…Read the full text as markdown