Full text of STERN CAPITAL LLC's X-17A-5 filed 2023-02-16 (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** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 | SEC FILE NUMBER | |-----------------| | 8-66433 | **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 \_\_\_ 1\_ 11\_ 12\_0\_ 22 \_\_\_ AND ENDING \_\_\_ 12\_1\_ 3 \_ 11\_ 20\_2\_2 \_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FI RM: Stern Capital, LLC TYPE OF REGISTRANT (check all applicable boxes): **!!!!!I** Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 420 Lexington Avenue, Suite 300 New York (City) (No. and Street) **NY** (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10170 (Zip Code) Lawrence M. Stern 212-832-1200 Lawrence. m.stern@stemcapital.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* BDG-CPAs 76 N Walnut St (Address) 2/18/2004 (Name - if individual, state last, first, and middle name) Ridgewood (City) 1167 NJ (State) 07450 (Zip Code) l" of Reglst,atlo, with PCAOB)(lf applicable) **FOR OFFICIAL USE ONLY** (PCAOB Reglstcatloo N,mbe,, If applicable) I • Claims for exemption from the requirement that the annual reports be covered by the reports of an Independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of Information contained** In **this form are not required to respond unless the form displays** II **currently valld 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Lawrence M. Stern swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Stern Capital, LLC , as of December 31 , 2 022 , is true and correct. I further swear (or affirm) that neit her the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary inte st in any ac unt classified so…Read the full text as markdown