Full text of PUMA CAPITAL, LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). 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 | OMB APPROVAL | | |-------------------------------------------------|--| | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | Estimated average burden | | | lours per response:<br>12 | | ## PART III SEC FILE NUMBER 8-67849 ### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | MM/DD/YY | | AND ENDING 12/31/2021<br>MM/DD/YY | |---------------------------------------------------------------------------|----------------------------------------------------------------------|-----------------|--------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Puma Capital LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | A 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.) | | | | | 555 Theodore Fremd Avenue, Suite 204 | | | | | | (No. and Street) | | | | Rye | NY | | 10520 | | | | | | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Marc Gross | 646-765-7201 | | mgross@pumacap.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | WithumSmith & Brown | | | | | | (Name - if individual, state last, first, and middle name) | | | | One Tower Center Blvd, 14th Fl | East Brunswick | NJ | 08816 | | (Address) | (City) | (State) | (Zip Code) | | 10/08/2003 | | 100 | | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable) | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(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 valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Marc Gross | | _ swear (or affirm) that, to the best of my knowledge and belief, the | | |-------------|--|-----…Read the full text as markdown