Full text of GCMI SECURITIES CORP.'s X-17A-5 filed 2024-01-10 (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 | | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response: 12 | | SEC FILE NUMBER | 8-67225 # **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 1/01/2023 | | AND ENDING 12/31/2023 | | |---------------------------------------------|--|-----------------------|--| | | | | | MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: GCM I Securities Corp. TYPE OF REGISTRANT (check all applicable boxes): [!] 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 a P.O. box no.) | 19200 Von Karman Ave. Suite 210 | | | | | | |----------------------------------------------|-------------------------------|-----------------------------|--|--|--| | | (No. and Street) | | | | | | Irvine | CA | 92612 | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Stephen G. Holmes | 949.499.0099 | sh@globalcapitalmarekts.com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* | | (Name - if individual, state last, first, and middle name) | | | |-----------------------------------------------|------------------------------------------------------------|---------|------------| | 18455 Burbank Blvd. Suite 404 Tarzana | | CA | 91356 | | (Address) | (City) | (State) | (Zip Code) | | September 15, 2005 | | 2370 | | | rte of Regist,abo" wtth PCAOB)(if 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-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 currently va…Read the full text as markdown