Full text of STERN CAPITAL LLC's X-17A-5 filed 2021-02-19 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ REPORT ON AUDIT OF CONSOLIDATED STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2020 {1}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | | OMB APPROVAL | |--------------------------------------|------------------| | OMB Number: | 3235-0123 | | Expires:<br>Estimated average burden | October 31, 2023 | | hours per response | 12.00 | # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-66433 | | 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 1/01/2020 | | AND ENDING | 12/31/2020 | |------------------------------------------------------------------------------------------------------|------------------------------|---------------|-------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALERS: | STERN CAPITAL LLC | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>420 LEXINGTON AVENUE, SUITE 300 | | FIRM I.D. NO. | | | | (No. and Street) | | | | NEW YORK | NY | | 10170 | | (City) | (State) | | (Lip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | LAWRENCE M. STERN | | | (212) 832-1200 | (Area Code - Telephone Number) # B. ACCOUNTANT IDENTIFICATION # INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* # Gettry Marcus CPA, P.C. | | (Name - if individual, state last, first, middle name) | | | |------------------------------|---------------------------------------------------------------------|---------|------------| | 1407 BROADWAY | NEW YORK | NY | 10018 | | (Address) | (City) | (State) | (Lip Code) | | CHECK ONE: | | | | | Certified Public Accountants | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OM…Read the full text as markdown