Full text of IMPERIAL CAPITAL, LLC's X-17A-5 filed 2020-05-29 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2019 Public Document {1}------------------------------------------------ Statement of Financial Condition December 31, 2019 ## **Public Document** {2}------------------------------------------------ # **Contents** | Facing page to Form X-17A-5 | 2A | |---------------------------------------------------------|-------| | Affirmation of Chief Operating Officer | 2B-2C | | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Notes to Statement of Financial Condition | 5-14 | {3}------------------------------------------------ **UNITED STATES** OMB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** | OMB Number: | 3235-0123 | | | |--------------------------|-----------------|--|--| | Expires: | August 31, 2020 | | | | Estimated average burden | | | | | hours per response12.00 | | | | | SEC FILE NUMBER | |-----------------| | 8-50397 | | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | January 1, 2019 | AND | ENDING | |--------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------------------------| | December 31, 2019 | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | Imperial Capital, LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | 10100 Santa Monica Blvd., Suite 2400 | | | FIRM I.D. NO. | | | (No. and Street) | | | | Los Angeles | CA | | 90067 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Richard Genovese | | | (310) 246-3700<br>(Area Code – Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>BDO USA, LLP | | | | | | (Name – if individual, state last, first, middle name) | | | | 515 S. Flower St., 47th Floor | Los Angeles | CA | 90071 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>5<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United…Read the full text as markdown