Full text of GLOBAL OAK CAPITAL MARKETS LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | |----------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per re.sponse:<br>12 | | SEC FILE NUMBER | | | # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8-65829 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | __<br>0_1f_0_1_f2_2 ___ | AND ENDING | ___ | __<br>1_2_/_3_1/_2_2 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | ___<br>NAME oF FIRM: | G_lo_b_a_l _o_a_k_C_a_p_it_a_l M_a_rk_e_ts_,_L_L_C | | | _______<br>_ | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>□ Security-based swap dealer<br>D Check here If respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 25 1 /2 Legare Street | | | | | | | (No. and Street) | | | | | Qharleston | SC | | | 29401 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Jonathan Liebergall | (843) 310-3245 | | Jonathan.liebergall@globaloakcm.com | | | (Name) | (Are~ Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>FGMK, LLC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 333 West Wacker Drive - | 6th Fl. Chicago | | IL | 60606 | | (Address) | (City) | | (State) | (Zip Code) | | 12/17/2009 | | | | 3968 | | (Date of Registration with PCAOB}(if applicable) | | | | (PCAOB Registration Number, if aoolicable) | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | accountant must be supported by a statement of facts and circumstances relied on as the ba…Read the full text as markdown