Full text of LIBERUM CAPITAL INC's X-17A-5 filed 2019-03-01 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ l TEDSTATES SECURITfESA'IO E.XCHA1'CE CO:\l\fJ 10~ Wuhiogtoo, D.C. lOS-49 ### ANNUAL AUDITED REPORT FORM X-17A-s PART Ill | OMB Number | 3235-0123 | |------------|--------------------------| | &pues: | August 31, 2020 | | | Estimated average burden | | hours | e 12 00 | | | | | | SEC ALE NUMBER | S.67976 OMS Al?PROVAL FACING PAGE Information Required of Broker~ and Dealers !Pursuant to cc:tion J 7 of the ecuritie E~cba ge Act of 1934 and Rule I 7a-5 Thereunder | REPORT FOR TIJE PERJOD B.EGIN"llNG January 1, 2018 | | AND END! G December 31<br>, 20_1_8_ | | |----------------------------------------------------|------------|-------------------------------------|--| | | \,f\f 00), | MY DD'YY | | | fl.AMf OF BROKER-DEALl:.R· Liberum Capital Inc<br>ADDRESS OF PRINCIPAL PLACE OF BlJSNESS (Do not ui,c P 0<br>575 Fifth Avenue, 20th Floor<br>New York<br>(Chy)<br>?\AME AND TELEPHOXE NUMBER OF PERSO~ TO CO~AL"T l'\i REGARD TO THlS REPORT | . Bo"< No.)<br>(No. aod Slll:Cll<br>NY<br>IStakJ | | OFFICIAL USE ONLY<br>FIRM 1.0. NO. | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|-------------|------------------------------------|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | 10017 | | | | | 11.tp Code> | | | | s:-ca.no."''<br>2IO nee | | | | | | | | | | | | B. ACCOUNTA 1 | T lDENTlFICATJO | | | | | l?'DEPEJl.DENT PUBLIC ACCOUNTA!lo'T "hoe opinion is containl!J in thi) R~FX'n<br>BDG-CPAs | | • | | | | 78 North Walnut St | Ridgewood | NJ | 07450 | | | | | 1.C:lalcl | | | | CHECK ONE:<br>l/"IC1"rtilicd Public Accounrnnl<br>Public Accoun1an1 | | | | | | B<br>Accountan1 not n:sidcnl in United! Sute~ or ao)· of us po<>sessions. | | | | | | | fOll OPPICIAL USE OML Y | | | | •( /ulm:. *fi1r* eJ(l!mprlun *frmn* rJw r.:quircm~'nl lhiJI '111! *,mmwl* r~/>tJrt hl• t'Uh:rt'tl by rh~· 11plnfun *of* un 1nc/qlf:11ck1111111h/1c. ulw1111um1 *m11.\I* be.· lUJ'flOl'IW b; o *11u1i:mem* uf fad' *tJtkl* ·1rr:11m11u11~·c.\ NlicJ tm 01 /hi! bu11.1 }t1r tht: *acmptiun.* Set.• .'i;..·,·11un *:uu* I 7u-Sfe)(1) > Potential pwreorw who ar• to r .. pond to the collection of lnformetlon cont•lned In thl1 form are not required to raapond unl•H the form dlapl•Y• • currenUy valid OMB control numb•r. SE…Read the full text as markdown