Full text of SEACAP SECURITIES LLC's X-17A-5 filed 2023-03-29 (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: o~t- 31, 2023 Estimated average burden hours per response: ! 2 > SEC FILE NUMBER 8-66052 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 0 1 /01 / 22 AND ENDING 12131122 ---------- ---------- MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: SEACAP SECURITIES LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if re5pondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 392 SPRINGFIELD AVENUE, 2ND FLOOR SUMMIT (City) (No. and Street) NJ (Stote) PERSON TO CONTACT WITH REGARD TO THIS FILING 07901 (Zip Code) 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\* RSGNC&S CERTIFITED PUBLIC ACCOUNTANT PPL (Name - if individual, state last, first, and middle name) 97 FROEHLICH FARM BLVD (AddreS5) 02/23/2010 WOODBURY (City) 5028 NY (State) 11797 (Zip Code) T" of •••ncatioa **with** PCAOB)(;f appll~ble) **FOR OFFICIAL USE ONLY** (PCAOB Regj>t,atio, Nomb.,, ;f applkabl•I 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-5(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained ln this form are not required to respond unless the form displays a currently valid 0MB tontrol number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, MARGARET CHAN | | swear (or affirm) that, to the best of my knowledge and belief, the | |------------------------------------------------------------------|----------------------------------|-------------------------------------------------------------------------------------------------------------------------------------| | financial report pertaining to the firm of SEACAP SECURITIES LLC | | , as of | | DECEMBER 31 | | , 2 022 ,…Read the full text as markdown