Full text of SMI CAPITAL MARKETS LLC's X-17A-5 filed 2026-07-23 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours perresponse:<br>12 | | |-----------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | | | | PART III | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/2025 | AND ENDING | 12/31/2025 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | SMI Capital Markets LLC | | | | | TYPE OF REGISTRANT<br>Broker-dealer | (check all applicable boxes):<br>Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer | | Major security-based swap participant | | | 2018 156th Ave NE # 100 | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | (No. and Street) | | | | | Bellevue | WA | | 98007 | | | | (City)<br>(State) | | (Zip Code) | | | PERSON TO CONTAСТ | WITH REGARD TO THIS FILING | | | | | Dale Garnett | 206.499.0158 | | dagarnett@hotmail.com | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Bauer and Company | | | | | | PO Box 27887 | (Name - if individual, state last, first, and middle name)<br>Austin | TX | 78755 | | | (Address)<br>11/20/2014 | (City) | (State)<br>6072 | (Zip Code) | | | (Date of Registration with | PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | CFR 240.17a-5(e)(1)(ii), if applicable. | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported bya statement of facts and circumstances relied on as the basis of the exemption. See 17 | | | | Persons who areto respond to the col…Read the full text as markdown