Full text of STERN CAPITAL LLC's X-17A-5 filed 2026-02-23 (period 2025-12-31). 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 OM8 Number: 3235-0123 Explres:Nov.30,2026 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-S PART Ill FACING PAGE Information **Required** Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01 /01 /25 | MM/00/YY | AND ENDING<br>MM/0D/YV | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|-----------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | NAME oF FIRM: Stern 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.) | D Security-based swap dealer | D Major security-based swap participant | | 420 Lexington Avenue, Suite 300 | | | | | (No. and Street) | | | New York | NY | 10170 | | (City) | {State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Lawrence M. Stern | 212.832.1200 | lawrence.m.stern@stemcapital.com | #### **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• | BDG-CPAs | | | | |--------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | | {Name - if individual, state last, first, and middle name) | | | | 76 N Walnut Street | Ridgewood | NJ | 07450 | | {Address) | (City) | (State) | (Zip Code) | | 02/18/2004 | | 1167 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR 0FFIOAL USE ONLY | | | | | | | | | | | | | • 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-5(e)(1)(ii), if applicable. **Persons who ere to respond to the collection of Information contained** In **this form ere not required to respond unless the form** displays I **currently valid OMS control number.** {1}--------------------------------…Read the full text as markdown