Full text of SEVEN POINTS CAPITAL, LLC's X-17A-5 filed 2021-03-30 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS AND SUPPLEMENTARY INFORMATION PURSUANT TO RULE 17a-5 FOR THE YEAR ENDED DECEMBER 31, 2020 Public {1}------------------------------------------------ **UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours r res onse ...... 12.00 | SEC FILE NUMBER | |-----------------| | s-67644 | #### 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 1 /1 /20 | | AND ENDING 12/ 31 /20 | ----------- | |---------------------------------------------------------------------------------------------|--------------------------------------------------------|-----------------------|---------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Seven Points Capital LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>805 Third Ave. 11th Fl | | | FIRM 1.0. NO. | | | (No. and Street) | | | | New York | NY | 10022 | | | (City) | (State) | (Zip Code) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>David Lundgren | | | | | | (Name - if individual, state last. first. middle name) | | | | 505 Mur-len Road<br>(Address) | Olathe<br>(City) | KS<br>(State) | 66062<br>(Zip Code) | *\*Claims for exemption from the requirement that the annual report be 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. 17 a-5 (e)(2)* > **Potential 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 valid 0MB control number.** SEC 1410 (11-05) {2}------------------------------------------------ # **OATH OR AFFIRMATION** | 1, Michael Mangieri | | , swear (or affirm) that, to the best of | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown