Full text of STONEGATE CAPITAL MARKETS, INC.'s X-17A-5 filed 2024-02-02 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL<br>REPORTS | |-------------------| | X-17A-5<br>FORM | | PARTIII | OMB Number: 3235-0123 Expires: Nov. 30, <sup>2026</sup> Estimated average burden hours per response: <sup>12</sup> > SEC FILE NUMBER 8-17359 **FACING PAGE** Information Required Pursuant to Rules 17a-5,17a-12,and 18a-7 under the Securities Exchange Act of <sup>1934</sup> FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023 MM/0D/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** Stonegate Capital Markets, Inc. NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) ## 500 Crescent Court, Suite 370 | | (No. and Street) | | | | |--------------------------------------------------|-------------------------------------|----------------------------------------------|-----------------|--| | Dallas | TX | | 75201 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Amrein<br>Zach | 214-987-4121 | zach@stonegateinc.com | | | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | | B.<br>ACCOUNTANT IDENTIFICATION | | | | | Co.,<br>McBee<br>PC<br>&<br>(Name -if | individual,<br>state last,first,and | middle name) | | | | 718<br>Paulus<br>Avenue | Dallas | TX | 75214 | | | (Address) | (City) | (State) | (Zip Code) | | | 09/22/2009 | | 3631 | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number,if<br>applicable) | | | | | FOR OFFICIAL 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)(l)(ii),if applicable. Persons who are to respond to the collection of information containedin this formare not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | ( Zach Amrein *<sup>j</sup>* swear (or affirm) that, to the best of my knowledge and belief, the ,, as of ,2 <sup>2023</sup> .is true and correct. Ifur…Read the full text as markdown