Full text of SEACAP SECURITIES LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). 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:<br>12 | | SEC FILE NUMBER | | |-----------------|--| | 8-66052 | | **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 01101121 | ---------- | AND ENDING 12131121 | ---------<br>- | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------|--| | MM/DD/VY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: SEACAP SECURITIES LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>■ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 392 SPRINGFIELD AVENUE, 2ND FLOOR | | | | | | | (No. and Street) | | | | | SUMMIT | NJ | | 07901 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | MICHAEL T MARRONE | 646-930-1906 | MMARRONE@SEACAPSEC | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSGNC&S CERTIFITED PUBLIC ACCOUNTANT PPL | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 97 FROEHLICH FARM BLVD | WOODBURY | NY | 11797 | | | (Address)<br>02/23/2010 | (City) | (State)<br>5028 | (Zip Code) | | | (rte of .,,;, ,;.,<br>with l'CAOB)(lf applicabl,) | FOR OFFICW. USE ONLY | | (PCAOB Reg;st,atloo N,mbe,, ;f appUcable) | | | | | | | | \* 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 informa…Read the full text as markdown