Full text of PUMA CAPITAL, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition Pursuant to Rule 17 A-5 under the Securities Exchange Act of 1934 December 31 , 2022 {1}------------------------------------------------ #### **UNITED ST A TES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** ## **ANNUAL REPORTS FORMX-17A-5 PART** III | 0MB Number: 3235-0123 | | |--------------------------|--| | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMER 8- 67849 FACING PAGE Information Required Pursuant to R ules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **O 1 /01 /22** AND ENDING **12/31 /22** MM/DDNY MM/DDNY #### **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: \_\_ P\_um\_ a\_C\_a\_p\_it\_a\_l \_LL\_C \_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D 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) | | | | | |-----------------------|----------------------------------------------------------------------------|-----------------|--|--|--| | New York | NY | 10520 | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Marc Gross | (646) 765-7201 | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing* | | | | | | WithumSmith+Brown, PC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | | One Tower Center Blvd. 14th Fl East Brunswick | | NJ | 08816 | | | |-----------------------------------------------|--------|---------|------------|--|--| | (Address) | (City) | (State) | (Zip Code) | | | | 10/8/03 | 100 | | | | | (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) #### **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the reports ofan 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-5(e)( I )(ii), if applicable. **Persons who are to respond to the…Read the full text as markdown