Full text of SEVEN POINTS CAPITAL, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | OM & APPROVAL | | |-----------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|---------|---------------------------------------------------|--| | | SECURITIES AND Exchange commission | | CAS NEUMBE - 323 DIE DIE 2<br>Expres May 30, 2025 | | | | Was ten gron, ● ●.20549 | | Estinated aver as burden<br>hours Ps respores: 12 | | | | ANNUAL REPORTS | | SOC AIR PIC MIBER | | | | FORM X-17A-5 | | 8-67644 | | | | PART III | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 172-5, 172-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023 | | | | | | NA/COMY | | NN/BBYY | | | | A. REGISTRANT IDENT IF KATION | | | | | | NAMEOF FIRM: Seven Points Capital LLC | | | | | | | | | | | | Security-based swap dealer | | Majorsecurity based swap pailikip alt | | | O Oner there if respandentis abound OTC de in atives desier | | | | | | | ADDRESOF PRNCIPAL PIACE OF BLISINES: (Do notuse a P , 0.box no > | | | | | TYPE OF REGISTRANT (check all applicable: boxes):<br>Broker dealer | | | | | | | (Noold Street) | | | | | New York | NY | | 10022 | | | (OVI | (State | | the Code | | | | | | | | | | 516-225-2474 | | mise Cosevenpo in capital com | | | | (Area Lade- Telephane Number) | | (Email Addres) | | | | B. ACCOUNTA NTIDENTIFICA: ON | | | | | 150 Third Ave. #3002<br>PERSON TO CONTACT WITH REGARD TO THEi FILING<br>Mike Mangieri<br>Name | | | | | | | INDEPENDENT PLOLK ACCOLINTANT whose reports are contained in this filing * | | | | | | | | | | | | (Name - if individual, state lest, first, and middle name | | | | | | Olathe | KS | 86062 | | | | (City) | (State) | (Za Cadel | | | David Lundgren and Company<br>505 N. Murten Road<br>Underes<br>01/05/2015 | | 6075 | | | 7 . Se a volu la it must or superios in and crumstanes reliedon a the basis of the exemption. See 17 CFR 240.170-5(e)(1){ii) |, if oppli : dale . Posses who are a pend to the callection of efferman and and and required to required to reports unless the fem displays a oureauty 1.360 0MB contel number, {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | | Michael Mangieri | |--|------------------| | | | I, Michael Mangieri swear (or affirm) that, to the best of my knowledge and be…Read the full text as markdown