Full text of SMITH CAPITAL MARKETS, LLC.'s X-17A-5 filed 2023-03-23 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ SMITH CAPITAL MARKETS, LLC REPORT PURSUANT TO RULE 17a-5(d) YEAR ENDED DECEMBER 31, 2022 The report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC DOCUMENT. {1}------------------------------------------------ # FORM X-17A-5 8-65408 PART Ill | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | | | OMB APPROVAL<br>Sree sae | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------------------------|--------------------------------------------| | Washington, D.C. 20549 | | Estimated average burden<br>hours per response: | 12 | | ANNUAL REPORTS<br>FORM X-17A-5 | | | SEC FILE NUMBER | | PART Ill | | | 8-65408 | | 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 01 /01/2022<br>MM/DD/YY | AND ENDING<br>1 | 2/31 [22 | MM/DD/YY | | A. REGISTRANT IDENTIFICATION | | | | | mith<br>LLC<br>Markets,<br>Capital<br>ame or cirm: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>CI Security-based swap dealer<br>[=] Broker-dealer<br>CJ Major security-based swap participant<br>©) Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | Douglas Ave.<br>8333<br>1365<br>Suite | | | | | (No. and Street)<br>TX<br>Dallas | | | 75225 | | (State)<br>(City) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | 214-226-7507<br>Sterling<br>Don | | d.sterling@sbeglobal.net | | | (Area Code — Telephone Number)<br>(Name) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | LLP<br>Spicer Jeffries<br>(Name - if individual, state last, first, and middle name) | | | | | Denver | CO | | 80237 | | DTC Blvd, Suite 700<br>4601 | | | (Zip Code) | | (Address)<br>(City) | (State) | | | | (Date of Registration with PCAOB)(if applicable)<br>FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | \* Claims for exe…Read the full text as markdown