Full text of PROSPERO CAPITAL LLC's X-17A-5 filed 2023-03-17 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | UNITED STATES | | 0MB APPROVAL | | |---------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|---------|-----------------------------------------------------------------------------|--| | PUBLIC | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB Number: 3235-0123<br>Expires: O~t. 31, 2023<br>Estimated average burden | | | | | | | 12<br>hours per response: | | | | | ANNUAL<br>REPORTS | | SEC FILE NUMBER | | | | | X-17A-S<br>FORM | | 8-52440 | | | | | PART<br>Ill | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | | AND ENDING 12/31/2022<br>FILING FOR THE PERIOD BEGINNING 01/01/2022<br>MM/DD/VY | | | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | NAME oF FIRM: Caplight | | LLC<br>Markets | | | | | ~ Broker-dealer | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | Oak<br>19<br>Lane | | | | | | | | | | | | | | | | (No. and Street) | | 11542 | | | | Glen<br>Cove<br>(City) | NY<br>(State) | | (Zip Code) | | | | | | | | | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | mchung@dfppartners.com | | | Michael | FINOP<br>Chung<br>, | 212-751-4422 | | | | | (Name) | | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Michael<br>T | Remus CPA | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | PO<br>Box<br>2555 | | Hamilton<br>Square | NJ | 08690 | | | (Address) | | (City) | (State) | (Zip Code) | | | 02/23/2010 | | | 3598 | | | | T"' | of Regl,t,atioa with PCAOB)llf a ppllcabl, j | | | (PCAO BReglstca tloo N,mbec, If appllcablej I | | | | | FOR OFFICIAL USE ONLY | | | | #### **Persons who are to respond to the collection of information contained in this form are not required to respond unless t…Read the full text as markdown