Full text of SAMCO CAPITAL MARKETS, INC.'s X-17A-5 filed 2024-03-21 (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-17A-5 | | PART Ill | OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 | SEC FILE NUMBER | | |-----------------|--| | 67023 | | MM/DD/YY 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 01 /Q 1 /23 MM/DD/VV AND ENDING 12/31 /23 A. REGISTRANT IDENTIFICATION # NAME oF FIRM: SAM CO Capital Markets, Inc. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not 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) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | | | | | | | Crowe, LLP | | | |-----------------------------------------------------------|---------|-------------------------------------------| | (Name- if individual, state last, first, and middle name) | | | | New York<br>485 Lexington Avenue-Floor 11 | NY | 10017 | | (City)<br>(Address) | (State) | (Zip Code) | | 09/24/03 | 173 | | | rto of R•gl,;trntio" with<br>PCAOB)Of •ppU"bl•l | | IPCAOB R•gl"rntioo N omb", If oppll"bl')l | | 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-S(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…Read the full text as markdown