Full text of SMITH CAPITAL MARKETS, LLC.'s X-17A-5 filed 2024-03-04 (period 2023-12-31). 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, 2023  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}------------------------------------------------ # ANNUAL REPORTS SEE GENURARER FORM X-17A-5 8-65408 PART Ill | | | OMB APPROVAL | |----------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------| | | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION | OMB Number: 3235-0123<br>Expires: Nov. 30, 2026 | | | Washington, D.C. 20549 | Estimated average burden<br>hours per response:<br>12 | | | ANNUAL REPORTS | SEE GENURARER | | | FORM X-17A-5 | 8-65408 | | | PART Ill | | | | 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 [23 | AND ENDING<br>MM/DD/YY | 1 2/31 [23<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | Smith Capital<br>NAME<br>OF<br>FIRM: | LLC<br>Markets, | | | REGISTRANT<br>TYPE<br>OF<br>[=] Broker-dealer<br>LC<br>CJ Check here if respondent is also an OTC derivatives dealer | (check all applicable boxes):<br>C1<br>Security-based swap dealer | Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | 8333 Douglas Ave. | 1365<br>Suite | | | | (No. and Street) | | | Dallas | Texas<br>(State) | 15225<br>(Zip Code) | | (City) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING<br>Donald Sterling | 214.226.7507 | d.sterling@sbcglobal.net | | (Name) | (Area Code — Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | Sanville & Company, | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | LLC<br>(Name — if individual, state last, first, and middle name) | | | 325 North Saint Paul St. Ste. 3100 | Dallas | 75201<br>TX | | (Address) | (City) |…Read the full text as markdown