Full text of PUMA CAPITAL, LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Puma Capital, LLC** Statement of Financial Condition Pursuant to Rule 17A-5 under the Securities Exchange Act of 1934 December 31, 2023 {1}------------------------------------------------ ## UNITED ST A TES 0MB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # **ANNUAL REPORTS FORM X-17A-5 PART III** 0MB Number: 3235·0123 Expires: Oct. 31, 2023 Estl mated average burden hours per response: 12 SEC FILE NUMER 8- 67849 | FTLING FOR THE PERIOD BEGINNING O 1/01 /23 | Information Required Pursuant to Rules 17a-5, 17a-12. and lSa-7 under tJ1e Securities Exchange Act of 1934 | AND ENDlNG 12/31 /23 | | | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------|-----------------------------------------|------------|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | ___<br>NAME oF FIRM: | P_u_m_a_C_a_p_it_a_l _L_L_C | ____________ | _ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>I& Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | 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 TH IS FILING | | | | | | Joshua Greenstein | (212) 896-2844 | jgreenstein@pumacap.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT lDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | WithumSmith+Brown, PC | | | | | | | (Name - if individual, state last, first, and middle name) | NY | 10018 | | | 1411 Broadway 9th floor | New York | | | | | | (City) | (State) | (Zip Code) | | | (Address)<br>10/8/03<br>(Date of Registration with PCAOB)(if applicable) | | 100 | | | Persons who are to rcSJ>Ond to the colleclion of information contained in this form are not required to resJ)ond unless the form disJ>lays a currently valid 0MB control number. <sup>•</sup> Claims for exemption from the requirement thar the annual reports be covered by lhe reports of an independent public accoun…Read the full text as markdown