Full text of STERN CAPITAL LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ *Filed in accordance with rule 17a-5(e)(3) as a PUBLIC DOCUMENT* {1}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5<br>PART Ill | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12<br>SEC FILE NUMBER<br>8-66433 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------| | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>___<br>1 ___ | | ___ 1 | __<br>_21_3_1_12_0_21 | | FILING FOR THE PERIOD BEGINNING | 1_<br>12_0_<br>2_<br>11_<br>MM/DD/VY | AND ENDING | | _<br>MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Stem Capital, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>420 Lexington Avenue, Suite 300 | D Security-based swap dealer | □ Major security-based swap participant | | | | | (No. and Street) | | | | | New York | NY | | | 10170 | | (City) | (State) | | | {Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Lawrence M. Stem | 212-832-1200 | | | | | (Name) | Lawrence.m.stem@stemcapital.com<br>(Email Address)<br>(Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Gettry Marcus CPA, P.C. | | | | | | | (Name - if Individual, state last, first, and middle name) | | | | | 1407 Broadway | New York | | NY | 10018 | | (Address) | (City)<br>(State)<br>(Zip Code} | | | | | 12/17/2009 | | 4034 | | | | (Date of Registration with PCAOB)(lf appli…Read the full text as markdown