Full text of MARATHON CAPITAL MARKETS, LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Marathon Capital Markets, LLC** Financial Report December 31 , 2021 Filed as PUBLIC information pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. 20549 0MB Number: 3235-0123 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | Expires: Oct. 31, 2023 | | |--------------------------|----| | Estimated average burden | | | hours per response: | 12 | | | | 0MB APPROVAL SEC FILE NUMBER 8-52256 **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 | __<br>____<br>0_1_/0_1_/2_1 | AND ENDING | __<br>____<br>1_2_/3_1/_2_1 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | Marathon Capital Markets, LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>IXI Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 200 W Madison St, Suite 3650 | | | | | | (No. and Street) | | | | Chicago | IL | | 60606 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT W ITH REGARD TO THIS FILING | | | | | Robert J. Braasch | 312-989-1342 | | RBraasch@marathoncapital.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 30 South Wacker Drive, Suite 3300 | Chicago | IL | 60606 | | (Address) | (City) | (State) | (Zip Code) | | 09/24/2003 | | 49 | | | rte of Reg;st<atioo w;th PCAOB)(;t applkable) | | | )PCAOB Reg;~,atioo N,mbec, ;t applkable) | | | FOR OFFICIAL USE ONLY | | I | \* 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 sta…Read the full text as markdown