Full text of SEACAP SECURITIES LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). 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-17 A-5 PART Ill** **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 **O 1/01 /23** AND ENDING **12/31 / <sup>2</sup> <sup>3</sup>** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: SEACAP SECURITIES LLC TYPE OF REGISTRANT (check al l applicable boxes): C!l Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 152 WEST 57TH STREET, 17TH FLOOR- | CARNEGIE HALL TOWERS | | |-----------------------------------|----------------------|--| | | | | | NEW YORK | NY | 10019 | |--------------------------------------------------|------------------------------------------------------------|---------------------------------------------| | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | MICAHEL T MARRONE 646-930-1906 | | MMARRONE@SEACAPASECURITIES.COM | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | RUBIO CPA, PC | | | | | | | | 3500 LENOX RD., SUITE 1500 ATLANTA | (Name - if individual, state last, first, and middle name) | GA<br>30326 | | (Address) | (City) | (State)<br>(Zip Code) | | 05/05/2009 | | 3514 | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if appl icable) | \* 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** in **this form are not required to respond unless the form displays a currently valid 0MB control number.** | 0MB APPROVAL | | | |--------------------------|--|--| | 0MB Number: 3235-0123 | | | | Expires: Nov. 30, 2026 | | | | Estimated average burden | | | | hours per response: 12 | | | SEC FILE NUMBER 8-66052 (No. and Street) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, MARGARET CHAN | | | swear (or affirm) that, to the best of my knowledge and belief, the |…Read the full text as markdown