Full text of SAMCO CAPITAL MARKETS, INC.'s X-17A-5 filed 2022-03-18 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response:<br>12 | | SEC FILE NUMBER | | |-----------------|--| | 07002 | | {1}------------------------------------------------ | State of Tublic, State of Texas<br>Comm. Expires 08-10-2024<br>Notary ID 132516062 | | as that of a Frassell BABELLA PRENDERGAST | |------------------------------------------------------------------------------------|--|-------------------------------------------| | | | | | | | | | | Signature: Omnaha K Homala | |--------|----------------------------| | Title: | President | - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ STATEMENT OF FINANCIAL CONDITION AND REPORT of INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {3}------------------------------------------------ ## TABLE OF CONTENTS | | | | Report of Independent Registered Public Accounting Firm | | |--|--|--|---------------------------------------------------------|--| | | | | | | #### Financial Statements | Statement of Financial Condition | 2 | |----------------------------------|------| | Notes to Financial Statements | 3-11 | 1 {4}------------------------------------------------  ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Stockholder and Board of Directors SAMCO Capital Markets, Inc. Dallas, Texas ### **Opinion on the Financial Statement** We have audited the accompanying statement of financial condition of SAMCO Capital Markets, Inc. (the "Company") as of December 31, 2021, and the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Company as of December 31, 2021, in conformity with accounting principles generally accepted in the United States of America. #### **Basis for Opinion** This financial statement is the responsibility of the Company's management. Our responsibility is to express an opinion on this financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities a…Read the full text as markdown