Full text of XMS CAPITAL PARTNERS, LLC's X-17A-5 filed 2020-02-27 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ CONSOLIDATED FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PURSUANT TO RULE 1 ?a-5 DECEMBER 31, 2019 {1}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill | 0MB AP PROV AL | | | | |--------------------------|---------------------------|--|--| | 0MB Number: | 3235-0123 | | | | Expires: | August 31, 2020 | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | SEC File Number 8-67502 # **FACING PAGE** # **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** Report for the period beginning 01/01/19 and ending 12/31/19 # **A. REGISTRANT IDENTIFICATION** NAME OF BROKER-DEALER: Official Use Only XMS Capital Partners, LLC ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do not use P.O. Box No.): 321 N. Clark Street, Suite 2440 (No. and Street) Chicago Illinois 60654 (City) (State) (Zip Code) Firm ID No. NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT: Theodore Brombach (312) 262-5642 (Area Code-Telephone No) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* DeMarco Sciaccotta Wilkens & Dunleavy, LLP (Name - if individual, state last, first, middle name) 9645 Lincolnway Lane. Suite 214A (No. and Street) Frankfort (City) | Illinois | 60423 | |----------|------------| | (State) | (Zip Code) | CHECK ONE: Public Accountant § Certified Public Accountant Accountant, not resident in United States or any of its possessions # FOR OFF I CAL USE ONLY \*Claims for exemption from the requirement that the annual report covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2) {2}------------------------------------------------ # **OATH OR AFFIRMATION** **I, Theodore Brombach,** swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statement and supporting schedules pertaining to the firm of XMS Capital Partners, **LLC,** as of December 31, 2019, are true and correct. I further swear (or affirm) that neither the Company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified…Read the full text as markdown