Full text of SAMCO CAPITAL MARKETS, INC.'s X-17A-5 filed 2023-03-20 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | OMB APPROVAL<br>OMB Number: 3235-0123 | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|------------------------------------------------------------------------|---------------------------------------|------------------------------------------------------------------------------|--| | | | | | Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | | 67023 | | | | PART Ill | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>AND ENDING 12/31 /22<br>FILING FOR THE PERIOD BEGINNING 01 /01 /22 | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: SAM CO Capital Markets, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do n.:>t use a P.O. box no.) | | | | | | | 6805 N. Capital of Texas Highway, Suite 350 | | | | | | | | (No. and Street) | | | | | | Austin, | | TX | | 78731 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Joseph R. Mannes | 214-765-1466 | | | JMannes@samcocapital.com | | | (Name) | (Area Code- Telephone Number)<br>(Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Crowe, LLP | | | | | | | 485 Lexingon Avenue-Floor 11 | | (Name- if individual, state last, first, and middle name)<br>New York, | NY | 10017 | | | (Address) | (City) | | (State) | (Zip Code) | | | 09/24/03 | | 173 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independe…Read the full text as markdown